Revised 1/14/2008 - PA - eMarketplace
REQUEST FOR PROPOSALS FOR
Department of Labor and Industry
Unemployment Compensation Modernization System (UCMS)
Enhancements, Maintenance and Support
ISSUING OFFICE
Office of Administration
OIT Bureau of Procurement
506 Finance Building
Harrisburg, PA 17120
RFP NUMBER
6100031033
DATE OF ISSUANCE
June 22, 2016
REQUEST FOR PROPOSALS FOR
Unemployment Compensation Modernization System (UCMS)
Enhancements, Maintenance and Support
TABLE OF CONTENTS
CALENDAR OF EVENTS iv
Part I—GENERAL INFORMATION 1
Part II—PROPOSAL REQUIREMENTS 14
Part III—CRITERIA FOR SELECTION 19
Part IV—WORK STATEMENT 24
APPENDIX A, CONTRACT TERMS AND CONDITIONS
APPENDIX B, QUESTIONS SUBMITTAL TEMPLATE
APPENDIX C, PROPOSAL COVER SHEET
APPENDIX D, TRADE SECRET/CONFIDENTIAL PROPRIETARY INFORMATION NOTICE
APPENDIX E, PROJECT REFERENCES
APPENDIX F, PERSONNEL EXPERIENCE BY KEY POSITION
APPENDIX G, SMALL DIVERSE BUSINESS LETTER OF INTENT
APPENDIX H, COST MATRIX
APPENDIX I, DOMESTIC WORKFORCE UTILIZATION CERTIFICATION
APPENDIX J, LOBBYING CERTIFICATION FORM
APPENDIX K, BUSINESS OVERVIEW
APPENDIX L, UCMS ARCHITECTURE WITH ZONES
APPENDIX M, TEAM ROLES AND QUALIFICATIONS
APPENDIX N, ACCEPTABLE USE POLICY AGREEMENT
APPENDIX O, COMPUTER RESOURCES USER AGREEMENT
APPENDIX P, L&I SHARED PRODUCTS
APPENDIX Q, PRODUCTION RESPONSIBILITY MATRIX
APPENDIX R, NON-PRODUCTION RESPONSIBILITY MATRIX
APPENDIX S, UCMS STATISTICS FOR HISTORICAL RELEASES
APPENDIX T, UCTS CALENDAR
APPENDIX U, SERVICE LEVEL AGREEMENTS
APPENDIX V, INCUMBENT CONTRACTOR’S TURNOVER PLAN
APPENDIX W, UCMS HISTORICAL RELEASE DEPLOYMENT SCHEDULE
APPENDIX X, UCMS SYSTEM DESIGN AND BLUEPRINT
APPENDIX Y, ADOBE PORTAL (AEM HARDWARE INFRASTRUCTURE)
APPENDIX Z, KEY PERFORMANCE INDICATORS
APPENDIX AA, STRESS AND LOAD TESTING SCENARIOS
APPENDIX BB, AUTOMATED REGRESSIONS TEST SCENARIOS
CALENDAR OF EVENTS
The Commonwealth will make every effort to adhere to the following schedule:
|Activity |Responsibility |Date |
|Deadline to submit Questions via email to: |Potential Offerors |Wednesday |
|RA-OITPurchases@. | |July 27, 2016, |
| | |by 1:00 PM |
| | |EST |
|*Optional* Pre-proposal Conference will be held at the following location: |Issuing Office/Potential |Thursday |
|Office for Information Technology |Offerors |August 11, 2016, |
|613 North Street | |At 10:00 AM |
|Finance Building, 5th Floor, Room 503 | |EST |
|Harrisburg, PA 17120 | | |
|. | | |
|Answers to Potential Offeror questions posted to the DGS website |Issuing Office |Friday |
|() no later than this date. | |August 19, 2016, |
| | |by 4:00 PM |
| | |EST |
|Please monitor website for all communications regarding the RFP. |Potential Offerors |Ongoing |
|Sealed proposal must be received by the Issuing Office at: |Offerors |Wednesday |
|Bureau of IT Procurement | |August 24, 2016, |
|c/o Commonwealth Mail Processing Center | |by 1:00 PM |
|2 Technology Park (rear) | |EST |
|Attn: IT Procurement, 506 Finance | | |
|Harrisburg, PA 17110 | | |
|Attn: Michael Gress | | |
| | | |
|Proposals must be time and date stamped by the facility receiving the proposal. Proposals | | |
|may only be hand-delivered between 6:15 a.m. and 2:15 p.m., Monday through Friday, | | |
|excluding Commonwealth holidays. | | |
PART I
GENERAL INFORMATION
Purpose. This request for proposals (RFP) provides to those interested in submitting proposals for the subject procurement (“Offerors”) sufficient information to enable them to prepare and submit proposals for the Department of Labor & Industry’s consideration on behalf of the Commonwealth of Pennsylvania (“Commonwealth”) to satisfy a need for Unemployment Compensation Modernization System (UCMS) Enhancements, Maintenance and Support (“Project”).
Issuing Office. The Office of Administration (“Issuing Office”) has issued this RFP on behalf of the Commonwealth. The sole point of contact in the Commonwealth for this RFP shall be Michael Gress, Commodity Specialist, OA-OIT Bureau of Procurement, 506 Finance Building, Harrisburg, PA 17120, ra-oitpurchases@, the Issuing Officer for this RFP. Please refer all inquiries to the Issuing Officer.
Scope. This RFP contains instructions governing the requested proposals, including the requirements for the information and material to be included; a description of the service to be provided; requirements which Offerors must meet to be eligible for consideration; general evaluation criteria; and other requirements specific to this RFP.
Problem Statement. The Department of Labor & Industry (L&I) is in need of professional IT services for the ongoing support, maintenance, and enhancement of the Unemployment Compensation Management System (UCMS). Additional detail is provided in Part IV of this RFP.
Type of Contract. It is proposed that if the Issuing Office enters into a contract as a result of this RFP, it will be a firm, fixed price contract containing the IT Contract Terms and Conditions as shown in Appendix A, Contract Terms and Conditions. The Issuing Office, in its sole discretion, may undertake negotiations with Offerors whose proposals, in the judgment of the Issuing Office, show them to be qualified, responsible and capable of performing the Project.
Rejection of Proposals. The Issuing Office reserves the right, in its sole and complete discretion, to reject any proposal received as a result of this RFP.
Incurring Costs. The Issuing Office is not liable for any costs the Offeror incurs in preparation and submission of its proposal, in participating in the RFP process or in anticipation of award of the contract.
Pre-proposal Conference. The Issuing Office will hold a Pre-proposal conference as specified in the Calendar of Events. The purpose of this conference is to provide opportunity for clarification of the RFP. Offerors should forward all questions to the Issuing Office in accordance with Part I, Section I-9 to ensure adequate time for analysis before the Issuing Office provides an answer. Offerors may also ask questions at the conference. In view of the limited facilities available for the conference, Offerors should limit their representation to two (2) individuals per Offeror. The Pre-proposal conference is for information only. Any answers furnished during the conference will not be official until they have been verified, in writing, by the Issuing Office. All questions and written answers will be posted on the Department of General Services’ (DGS) website as an addendum to, and shall become part of, this RFP. Attendance at the Pre-proposal Conference is not mandatory.
Questions & Answers. If an Offeror has any questions regarding this RFP, the Offeror must submit the questions by email (with the subject line “RFP 6100031033 Question”) to the Issuing Officer named in Part I, Section I-2 of the RFP. Questions must be submitted via email no later than the date indicated on the Calendar of Events. The Offeror shall not attempt to contact the Issuing Officer by any other means. The Issuing Officer shall post the answers to the questions on the DGS website by the date stated on the Calendar of Events. Submit questions on the Questions Submittal Template, Appendix B, to RA-OITPurchases@. An Offeror who submits a question after the deadline date for receipt of questions indicated on the Calendar of Events assumes the risk that its proposal will not be responsive or competitive because the Commonwealth is not able to respond before the proposal receipt date or in sufficient time for the Offeror to prepare a responsive or competitive proposal. When submitted after the deadline date for receipt of questions indicated on the Calendar of Events, the Issuing Officer may respond to questions of an administrative nature by directing the questioning Offeror to specific provisions in the RFP. To the extent that the Issuing Office decides to respond to a non-administrative question after the deadline date for receipt of questions indicated on the Calendar of Events, the answer must be provided to all Offerors through an addendum.
All questions and responses as posted on the DGS website are considered as an addendum to, and part of, this RFP in accordance with RFP Part I, Section I-10. Each Offeror shall be responsible to monitor the DGS website for new or revised RFP information. The Issuing Office shall not be bound by any verbal information nor shall it be bound by any written information that is not either contained within the RFP or formally issued as an addendum by the Issuing Office. The Issuing Office does not consider questions to be a protest of the specifications or of the solicitation.
Addenda to the RFP. If the Issuing Office deems it necessary to revise any part of this RFP before the proposal response date, the Issuing Office will post an addendum to the DGS website at . It is the Offeror’s responsibility to periodically check the website for any new information or addenda to the RFP. Answers to the questions asked during the Questions & Answers period also will be posted to the website as an addendum to the RFP.
Response Date. To be considered for selection, hard copies of proposals must arrive at the Issuing Office on or before the time and date specified in the RFP Calendar of Events. The Issuing Office will not accept proposals via email or facsimile transmission. Offerors who send proposals by mail or other delivery service should allow sufficient delivery time to ensure timely receipt of their proposals. If, due to inclement weather, natural disaster, or any other cause, the Commonwealth office location to which proposals are to be returned is closed on the proposal response date, the deadline for submission will be automatically extended until the next Commonwealth business day on which the office is open, unless the Issuing Office otherwise notifies Offerors by posting an Addendum to the RFP. The hour for submission of proposals shall remain the same. The Issuing Office will reject unopened, any late proposals.
Proposals. To be considered, Offerors should submit a complete response to this RFP to the Issuing Office, using the format provided in Part II, providing ten (10) paper copies of the Technical Submittal and two (2) paper copies of the Cost Submittal and two (2) paper copies of the Small Diverse Business (SDB) participation submittal. In addition to the paper copies of the proposal, Offerors shall submit two (2) complete and exact copies of the entire proposal (Technical, Cost and SDB submittals, along with all requested documents) on CD-ROM or Flash drive in Microsoft Office or Microsoft Office-compatible format. The electronic copy must be a mirror image of the paper copy and any spreadsheets must be in Microsoft Excel. The Offeror must also submit an electronic copy of a redacted version of the entire proposal, if redactions are necessary per Part I, Section I-15. Proposal Contents C. Public Disclosure. The redacted version should be clearly labeled as such in a separate folder on the CD or Flash drive. The Offerors may not lock or protect any cells or tabs. Offerors should ensure that there is no costing information in the technical submittal. Offerors should not reiterate technical information in the cost submittal. The CD or Flash drive should clearly identify the Offeror and include the name and version number of the virus scanning software that was used to scan the CD or Flash drive before it was submitted. The Offeror shall make no other distribution of its proposal to any other Offeror or Commonwealth official or Commonwealth consultant. Each proposal page should be numbered for ease of reference. An official authorized to bind the Offeror to its provisions must sign the proposal. If the official signs the Proposal Cover Sheet (Appendix C, Proposal Cover Sheet to this RFP) and the Proposal Cover Sheet is attached to the Offeror’s proposal, the requirement will be met. For this RFP, the proposal must remain valid until a contract is fully executed. If the Issuing Office selects the Offeror’s proposal for award, the contents of the selected Offeror’s proposal will become, except to the extent the contents are changed through Best and Final Offers or negotiations, contractual obligations.
Each Offeror submitting a proposal specifically waives any right to withdraw or modify it, except that the Offeror may withdraw its proposal by written notice received at the Issuing Office’s address for proposal delivery prior to the exact hour and date specified for proposal receipt. An Offeror or its authorized representative may withdraw its proposal in person prior to the exact hour and date set for proposal receipt, provided the withdrawing person provides appropriate identification and signs a receipt for the proposal. An Offeror may modify its submitted proposal prior to the exact hour and date set for proposal receipt only by submitting a new sealed proposal or sealed modification which complies with the RFP requirements.
Small Diverse Business Information. The Issuing Office encourages participation by small diverse businesses as prime contractors, and encourages all prime contractors to make a significant commitment to use small diverse businesses as subcontractors and suppliers.
A Small Diverse Business is a DGS-verified minority-owned business, woman-owned business, veteran-owned business or service-disabled veteran-owned business.
A small business is a business in the United States which is independently owned, not dominant in its field of operation, employs no more than one-hundred (100) full-time or full-time equivalent employees, and earns less than $7 million in gross annual revenues for building design, $20 million in gross annual revenues for sales and services and $25 million in gross annual revenues for those businesses in the information technology sales or service business.
Questions regarding this Program can be directed to:
Department of General Services
Bureau of Diversity, Inclusion and Small Business Opportunities
Room 611, North Office Building
Harrisburg, PA 17125
Phone: (717) 783-3119
Fax: (717) 787-7052
Email: gs-@
Website: dgs.state.pa.us
The Department’s directory of BDISBO-verified minority, women, veteran and service disabled veteran-owned businesses can be accessed from: Searching for Small Diverse Businesses.
Economy of Preparation. Offerors should prepare proposals simply and economically, providing a straightforward, concise description of the Offeror’s ability to meet the requirements of the RFP.
Alternate Proposals. The Issuing Office will not accept alternate proposals.
Discussions for Clarification. Offerors may be required to make an oral or written clarification of their proposals to the Issuing Office to ensure thorough mutual understanding and Offeror responsiveness to the solicitation requirements. The Issuing Office will initiate requests for clarification. Clarifications may occur at any stage of the evaluation and selection process prior to contract execution.
Prime Contractor Responsibilities. The contract will require the selected Offeror to assume responsibility for all services offered in its proposal whether it produces them itself or by subcontract. The Issuing Office will consider the selected Offeror to be the sole point of contact with regard to contractual matters.
Proposal Contents.
A. Confidential Information. The Commonwealth is not requesting, and does not require, confidential proprietary information or trade secrets to be included as part of Offerors’ submissions in order to evaluate proposals submitted in response to this RFP. Accordingly, except as provided herein, Offerors should not label proposal submissions as confidential or proprietary or trade secret protected. Any Offeror who determines that it must divulge such information as part of its proposal must submit the signed written statement described in subsection c. below and must additionally provide a redacted version of its proposal, which removes only the confidential proprietary information and trade secrets, for required public disclosure purposes.
B. Commonwealth Use. All material submitted with the proposal shall be considered the property of the Commonwealth of Pennsylvania and may be returned only at the Issuing Office’s option. The Commonwealth has the right to use any or all ideas not protected by intellectual property rights that are presented in any proposal regardless of whether the proposal becomes part of a contract. Notwithstanding any Offeror copyright and/or trademark designations contained on proposals, the Commonwealth shall have the right to make copies and distribute proposals internally and to comply with public record or other disclosure requirements under the provisions of any Commonwealth or United States statute or regulation, or rule or order of any court of competent jurisdiction.
C. Public Disclosure. After the award of a contract pursuant to this RFP, all proposal submissions are subject to disclosure in response to a request for public records made under the Pennsylvania Right-to-Know-Law, 65 P.S. § 67.101, et seq. If a proposal submission contains confidential proprietary information or trade secrets, a signed written statement to this effect must be provided with the submission in accordance with 65 P.S. § 67.707(b) for the information to be considered exempt under 65 P.S. § 67.708(b)(11) from public records requests. (See Appendix D, Trade Secret/Confidential Proprietary Information Notice) If financial capability information is submitted in response to Part II of this RFP such financial capability information is exempt from public records disclosure under 65 P.S. § 67.708(b) (26).
Best and Final Offers.
A. While not required, the Issuing Office reserves the right to conduct discussions with Offerors for the purpose of obtaining “best and final offers.” To obtain best and final offers from Offerors, the Issuing Office may do one or more of the following, in any combination and order:
1. Schedule oral presentations;
2. Request revised proposals;
3. Conduct a reverse online auction; and
4. Enter into pre-selection negotiations.
B. The following Offerors will not be invited by the Issuing Office to submit a Best and Final Offer:
1. Those Offerors, which the Issuing Office has determined to be not responsible or whose proposals the Issuing Office has determined to be not responsive.
2. Those Offerors, which the Issuing Office has determined in accordance with Part III, Section III-5, from the submitted and gathered financial and other information, do not possess the financial capability, experience or qualifications to assure good faith performance of the contract.
3. Those Offerors whose score for their technical submittal of the proposal is less than seventy percent (70%) of the total amount of technical points allotted to the technical criterion.
The issuing office may further limit participation in the best and final offers process to those remaining responsible offerors which the Issuing Office has, within its discretion, determined to be within the top competitive range of responsive proposals.
C. The Evaluation Criteria found in Part III, Section III-4, shall also be used to evaluate the Best and Final offers.
D. Price reductions offered through any reverse online auction shall have no effect upon the Offeror’s Technical Submittal. Dollar commitments to Small Diverse Businesses can be reduced only in the same percentage as the percent reduction in the total price offered through any reverse online auction or negotiations.
News Releases. Offerors shall not issue news releases, Internet postings, advertisements or any other public communications pertaining to this Project without prior written approval of the Issuing Office, and then only in coordination with the Issuing Office.
Restriction of Contact. From the issue date of this RFP until the Issuing Office selects a proposal for award, the Issuing Officer is the sole point of contact concerning this RFP. Any violation of this condition may be cause for the Issuing Office to reject the offending Offeror’s proposal. If the Issuing Office later discovers that the Offeror has engaged in any violations of this condition, the Issuing Office may reject the offending Offeror’s proposal or rescind its contract award. Offerors must agree not to distribute any part of their proposals beyond the Issuing Office. An Offeror who shares information contained in its proposal with other Commonwealth personnel and/or competing Offeror personnel may be disqualified.
Issuing Office Participation. Offerors shall provide all services, supplies, facilities, and other support necessary to complete the identified work, except as otherwise provided in this Part I, Section I-22. Labor & Industry will provide a project manager, three IT unit managers, approximately fifteen subordinate IT staff, and two business analysts. L&I will not provide clerical support to the successful Offeror. L&I will not provide parking however; parking is available at the successful Offeror’s expense. L&I will provide office space and basic office equipment including telephones, desks, chairs, meeting facilities, and computer resources.
Term of Contract. The term of the contract will commence on the Effective Date and will end three (3) years after the Effective Date. The Commonwealth may renew the contract for up to an additional two (2) one (1) year renewals. The Issuing Office will fix the Effective Date after the contract has been fully executed by the selected Offeror and by the Commonwealth and all approvals required by Commonwealth contracting procedures have been obtained. The selected Offeror shall not begin to perform or incur any expenses under the contract until (1) the contract Effective Date has arrived; (2) it has received a copy of the fully executed contract; and (3) it has received a purchase order or other written notice to proceed signed by the Contracting Officer.
Offeror’s Representations and Authorizations. By submitting its proposal, each Offeror understands, represents, and acknowledges that:
A. All of the Offeror’s information and representations in the proposal are true, correct, material and important, and the Issuing Office may rely upon the contents of the proposal in awarding the contract(s). The Commonwealth shall treat any misstatement, omission or misrepresentation as fraudulent concealment of the true facts relating to the Proposal submission, punishable pursuant to 18 Pa. C.S. § 4904.
B. The Offeror has arrived at the price(s) and amounts in its proposal independently and without consultation, communication, or agreement with any other Offeror or potential offeror.
C. The Offeror has not disclosed the price(s), the amount of the proposal, nor the approximate price(s) or amount(s) of its proposal to any other firm or person who is an Offeror or potential offeror for this RFP, and the Offeror shall not disclose any of these items on or before the proposal submission deadline specified in the Calendar of Events of this RFP.
D. The Offeror has not attempted, nor will it attempt, to induce any firm or person to refrain from submitting a proposal on this contract, or to submit a proposal higher than this proposal, or to submit any intentionally high or noncompetitive proposal or other form of complementary proposal.
E. The Offeror makes its proposal in good faith and not pursuant to any agreement or discussion with, or inducement from, any firm or person to submit a complementary or other noncompetitive proposal.
F. To the best knowledge of the person signing the proposal for the Offeror, the Offeror, its affiliates, subsidiaries, officers, directors, and employees are not currently under investigation by any Local, State or Federal governmental agency and have not in the last four (4) years been convicted or found liable for any act prohibited by Local, State or Federal law in any jurisdiction, involving conspiracy or collusion with respect to bidding or proposing on any public contract, except as the Offeror has disclosed in its proposal.
G. To the best of the knowledge of the person signing the proposal for the Offeror and except as the Offeror has otherwise disclosed in its proposal, the Offeror has no outstanding, delinquent obligations to the Commonwealth including, but not limited to, any state tax liability not being contested on appeal or other obligation of the Offeror that is owed to the Commonwealth.
H. The Offeror is not currently under suspension or debarment by the Commonwealth, any other state or the federal government, and if the Offeror cannot so certify, then it shall submit along with its proposal a written explanation of why it cannot make such certification.
I. The Offeror has not made, under separate contract with the Issuing Office, any recommendations to the Issuing Office concerning the need for the services described in its proposal or the specifications for the services described in the proposal. (See Pennsylvania State Adverse Interest Act)
J. Each Offeror, by submitting its proposal, authorizes Commonwealth agencies to release to the Commonwealth information concerning the Offeror's Pennsylvania taxes, unemployment compensation and workers’ compensation liabilities.
K. Until the selected Offeror receives a fully executed and approved written contract from the Issuing Office, there is no legal and valid contract, in law or in equity. The selected Offeror shall not begin to perform or incur any expenses under the contract until (1) the contract Effective Date has arrived; (2) it has received a copy of the fully executed contract; and 3) it has received a purchase order or other written notice to proceed signed by the Contracting Officer.
Notification of Selection.
A. Contract Negotiations. The Issuing Office will notify all Offerors in writing of the Offeror selected for contract negotiations after the Issuing Office has determined, taking into consideration all of the evaluation factors, the proposal that is the most advantageous to the Issuing Office.
B. Award. Offerors whose proposals are not selected will be notified when contract negotiations have been successfully completed and the Issuing Office has received the final negotiated contract signed by the selected Offeror.
Debriefing Conferences. Upon notification of award, Offerors whose proposals were not selected will be given the opportunity to be debriefed. The Issuing Office will schedule the debriefing at a mutually agreeable time. The debriefing will not compare the Offeror with other Offerors, other than the position of the Offeror’s proposal in relation to all other Offeror proposals. An Offeror’s exercise of the opportunity to be debriefed does not constitute nor toll the time for filing a protest (See Section I-27 of this RFP).
RFP Protest Procedure.
A. Who May File a Protest? An Offeror or Prospective Offeror which is aggrieved in connection with the RFP or award of the contract may file a protest. An Offeror is an entity which submits a proposal in response to an RFP. A Prospective Offeror is an entity which has not submitted a proposal in response to the RFP. No protest may be filed if the RFP is cancelled or if all proposals received in response to the RFP are rejected.
B. Place for Filing. A protest must be filed with the Agency Head Designee by either email or hardcopy.
1. A protest filed by email should be submitted to RA-oitprotests@, with a subject line including the solicitation number 6100031033 for which the action is being filed.
2. A protest filed by hardcopy should be submitted to the attention of the Agency Head Designee at the following address:
V. Reid Walsh
Chief of Staff to the Secretary of Administration
613 North Street
Room 207
Harrisburg, PA 1720
C. Time for Filing.
1. A Prospective Offeror which is considering filing a proposal must file the
protest within seven (7) days after the Prospective Offeror knew or should have known of the facts giving rise to the protest, but in no event later than the proposal submission deadline specified in the RFP.
2. A protest filed by an Offeror which submits a proposal must be filed within seven (7) days after the protesting Offeror knew or should have known of the facts giving rise to the protest, but in no event may an Offeror file a protest later than seven (7) days after the date the notice of award of the contract is posted on the DGS website.
3. The date of filing the protest is the date the Agency Head Designee receives the protest.
4. For purposes of this RFP, to be timely, a protest must be received by 4:00 p.m. of the seventh (7th) day.
5. Commonwealth agencies are required by law to disregard any protest received beyond the deadlines established in this Section I-28.
D. Contents of Protest.
1. A protest must be in writing. Hard copy in paper and electronic copy via email are acceptable.
2. A protest shall state all grounds upon which the protesting party asserts that the RFP or contract award was improper.
3. The protesting party may submit with the protest any documents or information it deems relevant.
E. Notice of Protest.
1. The Agency Head Designee will notify the successful Offeror of the protest if contractor selection has already been made.
2. If the Agency Head Designee receives the protest before selection, and he or she determines that substantial issues are raised by the protest, the Agency Head Designee will, in the sole discretion of the Agency Head Designee, notify all Offerors which appear to have a substantial and reasonable prospect of selection, as determined by the Agency Head, that a protest has been filed.
F. Stay of Procurement.
1. The Agency Head designee will promptly decide upon receipt of a timely protest whether or not the award of a contract shall be delayed, or if the protest is timely received after the award, whether the performance of the contract should be suspended.
2. The Issuing Office shall not proceed further with the RFP unless the Agency Head Designee makes a written determination that the protest is clearly without merit or that award of the contract without delay is necessary to protect the substantial interests of the Commonwealth.
G. Response and Reply.
1. Within fifteen (15) days of receipt of the protest, a response to the protest may be submitted to the Agency Head Designee. The protesting party must be copied on the response.
2. The protesting party may file a reply to the response within ten (10) days of the date of the response.
H. Procedures.
1. The Agency Head Designee shall review the protest and any response and reply.
2. The Agency Head Designee may request and review such additional documents or information he deems necessary to render a decision and may, at his sole discretion, conduct a hearing.
3. The Agency Head Designee shall provide to the protesting party and the contracting officer a reasonable opportunity to review and address any additional documents or information deemed necessary by the Agency Head Designee to render a decision.
I. Determination.
The Agency Head Designee shall promptly, but in no event later than sixty (60) days from the filing of the protest unless both parties agree to an extension, issue a written determination. The determination shall:
1. State the reason for the decision, and
2. If the determination is a denial of the protest, inform the protesting party of its right to file an action in the Commonwealth Court within fifteen (15) days of the determination mailing date.
3. The Agency Head Designee shall send a copy of the determination to the protesting party and any other person determined by the Agency Head Designee in his sole discretion to be affected by the determination.
Use of Electronic Versions of this RFP. This RFP is being made available by electronic means. If an Offeror electronically accepts the RFP, the Offeror acknowledges and accepts full responsibility to insure that no changes are made to the RFP. In the event of a conflict between a version of the RFP in the Offeror’s possession and the Issuing Office’s version of the RFP, the Issuing Office’s version shall govern.
Information Technology Policies.
This RFP is subject to the Information Technology Policies (ITP’s) {formerly known as Information Technology Bulletins} issued by the Office of Administration, Office for Information Technology (OA-OIT). ITP’s may be found at the following link: .
All proposals must be submitted on the basis that all ITP’s are applicable to this procurement. It is the responsibility of the Offeror to read and be familiar with the ITP’s. Notwithstanding the foregoing, if the Offeror believes that any ITP is not applicable to this procurement, it must list all such ITP’s in its technical response, and explain why it believes the ITP is not applicable. The Issuing Office may, in its sole discretion, accept or reject any request that an ITP not be considered to be applicable to the procurement. The Offeror’s failure to list an ITP will result in its waiving its right to do so later, unless the Issuing Office, in its sole discretion, determines that it would be in the best interest of the Commonwealth to waive the pertinent ITP’s.
Participating Addendum with an External Procurement Activity. Section 1902 of the Commonwealth Procurement Code, 62 Pa.C.S. § 1902, permits external procurement activities to participate in cooperative purchasing agreements for the procurement of services, supplies or construction.
A. Definitions. The following words and phrases have the meanings set forth in this provision:
1. External procurement activity: The term, as defined in 62 Pa. C. S. § 1901, means a “buying organization not located in the Commonwealth [of Pennsylvania] which if located in this Commonwealth would qualify as a public procurement unit [under 62 Pa. C.S. §1901]. An agency of the United States is an external procurement activity.”
2. Participating addendum: A bilateral agreement executed by the Contractor and an external procurement activity that clarifies the operation of the Contract for the external procurement activity concerned. The terms and conditions in any participating addendum shall affect only the procurements of the purchasing entities under the jurisdiction of the external procurement activity signing the participating addendum.
3. Public procurement unit: The term, as defined in 62 Pa. C. S. § 1901, means a “local public procurement unit or purchasing agency.”
4. Purchasing agency: The term, as defined in 62 Pa. C. S. § 103, means a “Commonwealth agency authorized by this part or any other law to enter into contracts for itself or as the agent of another Commonwealth agency.”
B. General. A participating addendum shall incorporate the terms and conditions of the Contract resulting from this RFP. The Contractor shall not be required to enter into any participating addendum.
C. Additional Terms.
1. A participating addendum may include additional terms that are required by the law governing the external procurement activity.
2. A participating addendum may include new, mutually agreed upon terms that clarify ordering procedures specific to a participating external procurement activity.
3. The construction and effect of any participating addendum shall be governed by and construed in accordance with the laws governing the external procurement activity.
4. If an additional term requested by the external procurement activity will result in an increased cost to the Contractor, the Contractor shall adjust its pricing up or down accordingly.
D. Prices.
1. Price adjustment. For any costs affecting the percent markup that the Contractor will or will not incur or that differ from costs incurred or not incurred in the fulfillment of this Contract, the Contractor shall adjust its pricing up or down accordingly. These costs may include, but not be limited to:
a. State and local taxes;
b. Unemployment and workers compensation fees;
c. E-commerce transaction fees; and
d. Costs associated with additional terms, established pursuant to this Part I, Section I-30.
2. The Contractor’s pricing for an external procurement activity shall be firm and fixed for the duration of the initial term of the Contract. After the initial term of the Contract, if the Contract is renewed, the Contractor’s pricing may be adjusted up or down based on market conditions only with the mutual agreement of both the Contractor and any external procurement activity.
E. Usage Reports on External Procurement Activities. The Contractor shall furnish to the Contracting Officer an electronic quarterly usage report, preferably in spreadsheet format no later than the fifteenth calendar day of the succeeding calendar quarter. Reports shall be e-mailed to the Contracting Officer for the Contract. Each report shall indicate the name and address of the Contractor, contract number, period covered by the report, the name of the external procurement activity that has used the Contract and the total volume of sales to the external procurement activity for the reporting period.
F. Electronic Copy of Participating Addendum. The Contractor, upon request of the Contracting Officer, shall submit one (1) electronic copy of the participating addendum to the Contracting Officer within ten (10) days after request.
PART II
PROPOSAL REQUIREMENTS
Offerors must submit their proposals in the format, including heading descriptions, outlined below. To be considered, the proposal must respond to all requirements in this part of the RFP. Offerors should provide any other information thought to be relevant, but not applicable to the enumerated categories, as an appendix to the Proposal. All cost data relating to this proposal and all Small Diverse Business cost data should be kept separate from and not included in the Technical Submittal. Each Proposal shall consist of the following three (3) separately sealed submittals:
A. Technical Submittal, which shall be a response to RFP Part II, Sections II-1 through
II-8;
B. Small Diverse Business participation submittal, in response to RFP Part II, Section II-9; and
C. Cost Submittal, in response to RFP Part II, Section II-10.
The Issuing Office reserves the right to request additional information which, in the Issuing Office’s opinion, is necessary to assure that the Offeror’s competence, number of qualified employees, business organization, and financial resources are adequate to perform according to the RFP.
The Issuing Office may make investigations as deemed necessary to determine the ability of the Offeror to perform the Project, and the Offeror shall furnish to the Issuing Office all requested information and data. The Issuing Office reserves the right to reject any proposal if the evidence submitted by, or investigation of, such Offeror fails to satisfy the Issuing Office that such Offeror is properly qualified to carry out the obligations of the RFP and to complete the Project as specified.
Statement of the Problem. State in succinct terms your understanding of the problem presented or the service required by this RFP.
Management Summary. Include a narrative description of the proposed effort and a list of the items to be delivered or services to be provided.
Work Plan. Describe in narrative form your technical plan for accomplishing the work. Use the task descriptions in Part IV of this RFP as your reference point. Modifications of the task descriptions are permitted; however, reasons for changes should be fully explained. Indicate roles and responsibilities for both the Offeror and the Commonwealth, the number of person hours allocated to each task. Include a Program Evaluation and Review Technique (PERT) or similar type display, time related, showing each event. If more than one approach is apparent, comment on why you chose this approach.
Prior Experience. Offerors must complete Appendix E, Project References, for up to three (3) completed projects of similar size, scope, and technology. Each project must include client references. Responses to this section must include at least one (1) project where your firm has implemented a project of similar size, scope, and technology. The Offeror must have managed at least three (3) projects, one (1) of which must be a public sector project, where the Offeror served as the prime contractor responsible for system maintenance, operational support, and enhancements. Offerors must provide examples of demonstrated prior experience developing and supporting J2EE based systems. The Offeror shall describe its organization’s demonstrated experience with ITIL or any industry best practices or standards its service management methodology is based as described in section IV-5.O IT Service Management. Experience shown should be work done by individuals who will be assigned to this project as well as that of your company. Studies or projects referred to must be identified and the name of the customer shown, including the name, address, and telephone number of the responsible official of the customer, company, or agency who may be contacted.
Personnel. Include the number of executive and professional personnel, analysts, auditors, researchers, programmers, consultants, etc., who will be engaged in the work. Show where these personnel will be physically located during the time they are engaged in the Project. All Offerors shall complete Appendix F, Personnel Experience by Key Position for key personnel. In addition, include the employee’s name and, through a resume or similar document, the Project personnel’s education and experience in project management and IT service management and delivery. The Offeror shall describe its staff’s experience and/or certification level with ITIL or any industry best practices or standards its service management methodology is based as described in section IV-5.O IT Service Management. Minimally the Offeror’s key personnel must include: Project Manager, Application Architect, Business Analyst, Application Developer, Database Developer, Database Administrator, Infrastructure Architect, WAS Administrator. Indicate the responsibilities each individual will have in this Project and how long each has been with your company. Identify by name any subcontractors you intend to use and the services they will perform.
Training. If appropriate, indicate recommended training of agency personnel. Include the agency personnel to be trained, the number to be trained, duration of the program, place of training, curricula, training materials to be used, number and frequency of sessions, and number and level of instructors.
Financial Capability. Describe your company’s financial stability and economic capability to perform the contract requirements. Provide your company’s financial statements (audited, if available) for the past three (3) fiscal years. Financial statements must include the company’s Balance Sheet and Income Statement or Profit/Loss Statements. Also include a Dun & Bradstreet comprehensive report, if available. If your company is a publicly traded company, please provide a link to your financial records on your company website in lieu of providing hardcopies. The Commonwealth reserves the right to request additional information it deems necessary to evaluate an Offeror’s financial capability.
Objections and Additions to Appendix A, Contract Terms and Conditions. The Offeror will identify which, if any, of the terms and conditions (contained in Appendix A, Contract Terms and Conditions) it would like to negotiate and what additional terms and conditions the Offeror would like to add to the standard contract terms and conditions. The Offeror’s failure to make a submission under this paragraph will result in its waiving its right to do so later, but the Issuing Office may consider late objections and requests for additions if to do so, in the Issuing Office’s sole discretion, would be in the best interest of the Commonwealth. The Issuing Office may, in its sole discretion, accept or reject any requested changes to the standard contract terms and conditions. The Offeror shall not request changes to the other provisions of the RFP, nor shall the Offeror request to completely substitute its own terms and conditions for Appendix A, Contract Terms and Conditions. All terms and conditions must appear in one integrated contract. The Issuing Office will not accept references to the Offeror’s, or any other, online guides or online terms and conditions contained in any proposal.
Regardless of any objections set out in its proposal, the Offeror must submit its proposal, including the cost proposal, on the basis of the terms and conditions set out in Appendix A, Contract Terms and Conditions. The Issuing Office will reject any proposal that is conditioned on the negotiation of the terms and conditions set out in Appendix A, Contract Terms and Conditions or to other provisions of the RFP as specifically identified above.
Small Diverse Business Participation Submittal.
A. To receive credit for being a Small Diverse Business or for subcontracting with a Small Diverse Business (including purchasing supplies and/or services through a purchase agreement), an Offeror must include proof of Small Diverse Business qualification in the Small Diverse Business participation submittal of the proposal, as indicated below:
A Small Diverse Business verified by BDISBO as a Small Diverse Business must provide a photocopy of their verification letter.
B. In addition to the above verification letter, the Offeror must include in the Small Diverse Business participation submittal of the proposal the following information:
1. All Offerors must include a numerical percentage which represents the total percentage of the work (as a percentage of the total cost in the Cost Submittal) to be performed by the Offeror and not by subcontractors and suppliers.
2. All Offerors must include a numerical percentage which represents the total percentage of the total cost in the Cost Submittal that the Offeror commits to paying to Small Diverse Businesses (SDBs) as subcontractors. To support its total percentage SDB subcontractor commitment, Offeror must also include:
a) The percentage and dollar amount of each subcontract commitment to a Small Diverse Business.
b) The name of each Small Diverse Business. The Offeror will not receive credit for stating that after the contract is awarded it will find a Small Diverse Business.
c) The services or supplies each Small Diverse Business will provide, including the timeframe for providing the services or supplies.
d) The location where each Small Diverse Business will perform services.
e) The timeframe for each Small Diverse Business to provide or deliver the goods or services.
f) A subcontract or letter of intent signed by the Offeror and the Small Diverse Business (SDB) for each SDB identified in the SDB Submittal. The subcontract or letter of intent must identify the specific work, goods or services the SDB will perform, how the work, goods or services relates to the project and the specific timeframe during the term of the contract and any option/renewal periods when the work, goods or services will be performed or provided. In addition, the subcontract or letter of intent must identify the fixed percentage commitment and associated estimated dollar value that each SDB will receive based on the total value of the initial term of the contract as provided in the Offeror's Cost Submittal. Attached is a letter of intent template which may be used to satisfy these requirements. Appendix G, Small Diverse Business Letter of Intent.
g) The name, address and telephone number of the primary contact person for each Small Diverse Business.
3. The total percentages and each SDB subcontractor commitment will become contractual obligations once the contract is fully executed.
4. The name and telephone number of the Offeror’s project (contact) person for the Small Diverse Business information.
C. The Offeror is required to submit two (2) copies of its Small Diverse Business participation submittal. The submittal shall be clearly identified as Small Diverse Business information and sealed in its own envelope, separate from the remainder of the proposal.
D. A Small Diverse Business can be included as a subcontractor with as many prime contractors as it chooses in separate proposals.
E. An Offeror that qualifies as a Small Diverse Business and submits a proposal as a prime contractor is not prohibited from being included as a subcontractor in separate proposals submitted by other Offerors.
Cost Submittal. The information requested in this Part II, Section II-10 shall constitute the Cost Submittal. The Cost Submittal shall be placed in a separate sealed envelope within the sealed proposal, separated from the technical submittal. The total proposed cost shall be broken down into the following components listed on Appendix H, Cost Matrix: Offerors should not include any assumptions in their cost submittals. If the Offeror includes assumptions in its cost submittal, the Issuing Office may reject the proposal. Offerors should direct in writing to the Issuing Office pursuant to Part I, Section I-9, of this RFP any questions about whether a cost or other component is included or applies. All Offerors will then have the benefit of the Issuing Office’s written answer so that all proposals are submitted on the same basis.
The Issuing Office will reimburse the selected Offeror for work satisfactorily performed after execution of a written contract and the start of the contract term, in accordance with contract requirements, and only after the Issuing Office has issued a notice to proceed.
Domestic Workforce Utilization Certification. Complete and sign the Domestic Workforce Utilization Certification contained in Appendix I, Domestic Workforce Utilization Certification of this RFP. Offerors who seek consideration for this criterion must submit in hardcopy the signed Domestic Workforce Utilization Certification Form in the same sealed envelope with the Technical Submittal.
Lobbying Certification and Disclosure of Lobbying Activities. This Project will be funded, in whole or in part, with federal monies. Public Law 101-121, Section 319, prohibits federal funds from being expended by the recipient or by any lower tier sub-recipients of a federal contract, grant, loan, or a cooperative agreement to pay any person for influencing, or attempting to influence a federal agency or Congress in connection with the awarding of any federal contract, the making of any federal grant or loan, or entering into any cooperative agreement. All parties who submit proposals in response to this RFP must sign the “Lobbying Certification Form,” attached as Appendix J, Lobbying Certification Form and, if applicable, complete the “Disclosure of Lobbying Activities” form also attached in Appendix J Lobbying Certification Form as per MD 305.16 (Amended)
Lobbying Certification and Disclosure ManagementDirective 305.16 Amended and available at: .
PART III
CRITERIA FOR SELECTION
Mandatory Responsiveness Requirements. To be eligible for selection, a proposal must be:
A. Timely received from an Offeror;
B. Properly signed by the Offeror.
Technical Nonconforming Proposals. The two (2) Mandatory Responsiveness Requirements set forth in Section III-1 above (A-B) are the only RFP requirements that the Commonwealth will consider to be non-waivable. The Issuing Office reserves the right, in its sole discretion, to (1) waive any other technical or immaterial nonconformities in an Offeror’s proposal, (2) allow the Offeror to cure the nonconformity, or (3) consider the nonconformity in the scoring of the Offeror’s proposal.
Evaluation. The Issuing Office has selected a committee of qualified personnel to review and evaluate timely submitted proposals. Independent of the committee, BDISBO will evaluate the Small Diverse Business participation submittal and provide the Issuing Office with a rating for this component of each proposal. The Issuing Office will notify in writing of its selection for negotiation the responsible Offeror whose proposal is determined to be the most advantageous to the Commonwealth as determined by the Issuing Office after taking into consideration all of the evaluation factors.
Evaluation Criteria. The following criteria will be used in evaluating each proposal:
A. Technical: The Issuing Office has established the weight for the Technical criterion for this RFP as fifty percent (50%) of the total points. Evaluation will be based upon
the following:
• Understanding the Problem.
• Offeror Qualifications.
• Personnel Qualifications.
• Soundness of Approach.
The final Technical scores are determined by giving the maximum number of technical points available to the proposal with the highest raw technical score. The remaining proposals are rated by applying the Technical Scoring Formula set forth at the following webpage:
B. Cost: The Issuing Office has established the weight for the Cost criterion for this RFP as thirty percent (30%) of the total points. The cost criterion is rated by giving the proposal with the lowest total cost the maximum number of Cost points available. The remaining proposals are rated by applying the Cost Formula set forth at the following webpage:
C. Small Diverse Business Participation: BDISBO has established the weight for the Small Diverse Business (SDB) participation criterion for this RFP as twenty percent (20%) of the total points. Each SDB participation submittal will be rated for its approach to enhancing the utilization of SDBs in accordance with the below-listed priority ranking and subject to the following requirements:
1. A business submitting a proposal as a prime contractor must perform sixty percent (60%) of the total contract value to receive points for this criterion under any priority ranking.
2. To receive credit for an SDB subcontracting commitment, the SDB subcontractor must perform at least fifty percent (50%) of the work subcontracted to it.
3. A significant subcontracting commitment is a minimum of five percent (5%) of the total contract value.
4. A subcontracting commitment less than five percent (5%) of the total contract value is considered nominal and will receive reduced or no additional SDB points depending on the priority ranking.
Priority Rank 1: Proposals submitted by SDBs as prime offerors will receive one- hundred and fifty (150) points. In addition, SDB prime offerors that have significant subcontracting commitments to additional SDBs may receive up to an additional fifty (50) points (two-hundred (200) points total available).
Subcontracting commitments to additional SDBs are evaluated based on the proposal offering the highest total percentage SDB subcontracting commitment. All other Offerors will be scored in proportion to the highest total percentage SDB subcontracting commitment within this ranking. See formula below.
Priority Rank 2: Proposals submitted by SDBs as prime contractors, with no or nominal subcontracting commitments to additional SDBs, will receive one-hundred and fifty (150) points.
Priority Rank 3: Proposals submitted by non-small diverse businesses as prime contractors, with significant subcontracting commitments to SDBs, will receive up to one-hundred (100) points. Proposals submitted with nominal subcontracting commitments to SDBs will receive points equal to the percentage level of their total SDB subcontracting commitment.
SDB subcontracting commitments are evaluated based on the proposal offering the highest total percentage SDB subcontracting commitment. All other Offerors will be scored in proportion to the highest total percentage SDB subcontracting commitment within this ranking. See formula below.
Priority Rank 4: Proposals by non-small diverse businesses as prime contractors with no SDB subcontracting commitments shall receive no points under this criterion.
To the extent that there are multiple SDB Participation submittals in Priority Rank 1 and/or Priority Rank 3 that offer significant subcontracting commitments to SDBs, the proposal offering the highest total percentage SDB subcontracting commitment shall receive the highest score (or additional points) available in that Priority Rank category and the other proposal(s) in that category shall be scored in proportion to the highest total percentage SDB subcontracting commitment. Proportional scoring is determined by applying the following formula:
SDB % Being Scored x Points/Additional = Awarded/Additional
Highest % SDB Commitment Points Available* SDB Points
Priority Rank 1 = 50 Additional Points Available
Priority Rank 3 = 100 Total Points Available
Please refer to the following webpage for an illustrative chart which shows SDB scoring based on a hypothetical situation in which the Commonwealth receives proposals for each Priority Rank:
D. Domestic Workforce Utilization: Any points received for the Domestic Workforce Utilization criterion are bonus points in addition to the total points for this RFP. The maximum amount of bonus points available for this criterion is three percent (3%) of the total points for this RFP.
To the extent permitted by the laws and treaties of the United States, each proposal will be scored for its commitment to use domestic workforce in the fulfillment of the contract. Maximum consideration will be given to those Offerors who will perform the contracted direct labor exclusively within the geographical boundaries of the United States or within the geographical boundaries of a country that is a party to the World Trade Organization Government Procurement Agreement. Those who propose to perform a portion of the direct labor outside of the United States and not within the geographical boundaries of a party to the World Trade Organization Government Procurement Agreement will receive a correspondingly smaller score for this criterion. See the following webpage for the Domestic Workforce Utilization Formula:
.
Offerors who seek consideration for this criterion must submit in hardcopy the signed Domestic Workforce Utilization Certification Form in the same sealed envelope with the Technical Submittal. The certification will be included as a contractual obligation when the contract is executed.
Offeror Responsibility. To be responsible, an Offeror must submit a responsive proposal and possess the capability to fully perform the contract requirements in all respects and the integrity and reliability to assure good faith performance of the contract.
Further, in order for an Offeror to be considered responsible for this RFP and therefore eligible for selection for best and final offers or selection for contract negotiations:
A. The total score for the technical submittal of the Offeror’s proposal must be greater than or equal to seventy percent (70%) of the available technical points; and
B. The Offeror’s financial information must demonstrate that the Offeror possesses the financial capability to assure good faith performance of the contract. The Issuing Office will review the Offeror’s previous three financial statements, any additional information received from the Offeror, and any other publicly-available financial information concerning the Offeror, and assess each Offeror’s financial capacity based on calculating and analyzing various financial ratios, and comparison with industry standards and trends.
An Offeror that fails to demonstrate sufficient financial capability to assure good faith performance of the contract as specified herein may be considered by the Issuing Office, in its sole discretion, for Best and Final Offers or contract negotiation contingent upon such Offeror providing contract performance security, in a form acceptable to the Issuing Office, for twenty percent (20%) of the proposed value of the base term of the contract. Based on the financial condition of the Offeror, the Issuing Office may require a certified or bank (cashier’s) check, letter of credit, or a performance bond conditioned upon the faithful performance of the contract by the Offeror. The required performance security must be issued or executed by a bank or surety company authorized to do business in the Commonwealth. The cost of the required performance security will be the sole responsibility of the Offeror and cannot increase the Offeror’s cost proposal or the contract cost to the Commonwealth.
Further, the Issuing Office will award a contract only to an Offeror determined to be responsible in accordance with the most current version of Commonwealth Management Directive 215.9, Contractor Responsibility Program.
Final Ranking and Award.
A. After any best and final offer process conducted, the Issuing Office will combine the evaluation committee’s final technical scores, BDISBO’s final small diverse business participation scores, the final cost scores, and (when applicable) the domestic workforce utilization scores, in accordance with the relative weights assigned to these areas as set forth in this Part.
B. The Issuing Office will rank responsible offerors according to the total overall score assigned to each, in descending order.
C. The Issuing Office must select for contract negotiations the offeror with the highest overall score; PROVIDED, HOWEVER, THAT AN AWARD WILL NOT BE MADE TO AN OFFEROR WHOSE PROPOSAL RECEIVED THE LOWEST TECHNICAL SCORE AND HAD THE LOWEST COST SCORE OF THE RESPONSIVE PROPOSALS RECEIVED FROM RESPONSIBLE OFFERORS. IN THE EVENT SUCH A PROPOSAL ACHIEVES THE HIGHEST OVERALL SCORE, IT SHALL BE ELIMINATED FROM CONSIDERATION AND AWARD SHALL BE MADE TO THE OFFEROR WITH THE NEXT HIGHEST OVERALL SCORE.
D. The Issuing Office has the discretion to reject all proposals or cancel the request for proposals, at any time prior to the time a contract is fully executed, when it is in the best interests of the Commonwealth. The reasons for the rejection or cancellation shall be made part of the contract file.
PART IV
WORK STATEMENT
1. Objectives.
A. General.
The Department of Labor & Industry (L&I) requires an Information Technology (IT) services contractor to provide project management, application maintenance and enhancements, middleware and third-party Commercial-off-the-shelf (COTS) product support, production support, and infrastructure and operational support services for Unemployment Compensation Management System (UCMS) components.
L&I may ask the vendor to provide additional services to L&I under this contract. Those additional services have been defined as options under the Section IV-4.G. Optional Services. L&I will update the purchase order to include the additional cost for any optional services selected.
B. Specific.
The overall intent of this project is a solution for UCMS that:
1. Ensures system stability, minimizes system down time, and ensures data reliability.
2. Reduces the overall system support costs.
3. Ensures the security of the system and its data.
1. Complies with and adapts to changing business rules, laws, regulations, court precedents and policies.
3. Emphasizes system maintenance, existing defect resolution, and operational support.
4. Adheres to all applicable technical standards, policies, and procedures.
5. Ensures that technical documentation is developed and maintained.
6. Ensures that all system related software upgrades and technology enhancements are implemented to maintain version currency.
7. Cultivates a collaborative, team based environment.
8. Provides application infrastructure support for four environments.
Offerors, in its response, shall describe how it will specifically work with L&I to meet the stated objectives.
2. Nature and Scope of the Project.
A. The Office of Unemployment Compensation Tax Services (UCTS) is responsible for collecting, monitoring, administering and enforcing Unemployment Compensation (UC) tax from approximately 300,000 employers with the Commonwealth. The UCMS became available to the public in October in 2012. There are over 260,000 registered users. UCTS has offices in 17 locations throughout Pennsylvania. Electronic reporting became mandatory in 2014.
B. UCMS processes approximately six million worker wage records per calendar quarter. The data is passed to the UC Benefits legacy mainframe system where it becomes an essential part of the timely and accurate payment of UC benefits to individuals eligible for those benefits.
C. Organizational information about UCTS and L&I’s Office of Information Technology (OIT) can be found in Appendix K, Business Overview.
The nature of this project is for an IT services contractor to provide support services in order to sustain operations of UCMS.
The scope of this project includes:
1. Project initiation and transition.
2. Release management.
3. Application maintenance and operational support services.
4. Project Management.
D. A high-level snapshot of the tools and technologies may be found in Appendix L, UCMS Architecture with zones.
3. Requirements.
Offeror shall describe how it will meet the requirements as described below.
A. Offeror Qualifications.
The selected Offeror shall meet the following qualifications:
1. Managed projects of similar size, scope, and technology.
2. Managed at least three (3) projects where the Offeror served as the prime contractor responsible for system maintenance, operational support, and enhancements. Offerors may include both private and public sector system experience. At least one (1) of the projects should be public sector experience.
3. Experience with industry best practices such as PMBOK Project Management, system development life cycle (SDLC), and Information Technology Infrastructure Library (ITIL).
B. Offeror Personnel Requirements.
1. The selected Offeror must provide dedicated staff to this project. Each staff person must have the required skills and experience necessary to support the Offeror’s proposed solution and must agree to work in the Harrisburg location.
2. Offeror staff assigned to this project must be able to work cooperatively with various project staff, L&I OIT and UCTS program office staff, and other contractors.
3. Staff must be able to deliver work in accordance with L&I and Commonwealth standards and policies.
4. The Offeror must, at its expense, arrange for a background check and yearly renewals for each of its employees, as well as the employees of any of its subcontractors, who will have access to Commonwealth premises and/or IT facilities, either through on-site access or through remote access as described in Appendix A, Contract Terms and Conditions
5. L&I may request the removal of any personnel for any reason during the term of the contract and Offeror must provide a replacement resource.
C. Team Qualifications.
The selected Offeror’s project team must meet the minimum qualifications as described below. The selected Offeror’s staff must have the requisite skills and experience for any role they are assigned as part of this project team and all team members must have a proven, successful work history, and a demonstrated ability to work effectively as a member of a team. Except for the Offeror’s project manager, the Offeror may propose personnel to serve in more than one (1) capacity provided that the individual filling those roles has the requisite skills and experience. The Offeror must propose the personnel it determines necessary to accomplish the requirements of this project.
The selected Offeror’s project team shall consist of at a minimum the roles described and those roles deemed necessary by the Offeror. The selected Offeror shall provide sufficient staffing numbers and expertise to create and maintain a team which can efficiently perform the tasks as described in this RFP and deliver quality deliverables.
Key personnel, beyond those specified herein, are all individuals who contribute to the development or execution of a project in a substantive, measureable way whereby the individual’s knowledge and/or skills are critical to the project.
Offeror Response:
• Offeror must describe their proposed management structure and identify key personnel who will be assigned to this project.
• Resumes for all key personnel must be included. Resumes for all other personnel must be available upon request.
• If the selected Offeror’s transition team (see Section IV-4.Tasks.A. Project initiation and transition from the Incumbent Contractor) will consist of personnel who will not be part of the Offeror’s ongoing project team, the Offeror must specifically identify these individuals and provide a description of the role each will play during the transition and provide an explanation as to why there will not be an ongoing need for each of these resources.
D. Roles and Responsibilities.
The Offeror must define, as delineated in appendices N and O, which roles each of the selected Offeror’s project team members will perform. The selected Offeror’s project manager will work closely with the L&I project manager and the L&I project management team. The selected Offeror’s team must meet the minimum qualifications as described in Appendix M, Team Roles and Qualifications. Offeror staff must have experience for any role they are assigned as part of this project and all team members must have a demonstrated ability to work effectively as a member of a project team.
E. Collaboration.
It is expected that the vendor will cultivate collaboration with L&I staff throughout the project thereby reducing, if not eliminating, the need for formalized training on the UCMS installation, configuration, and architecture.
Offeror Response:
• Offerors must provide an explanation regarding how they plan to effectively collaborate with L&I staff.
F. Replacement of Personnel.
The Offeror may not divert or replace personnel without written approval of the Commonwealth Contracting Officer or delegated agency representative and in accordance with the following procedures, after personnel have been assigned and approved.
1. The selected Offeror must provide notice of proposed diversion or replacement of key personnel to the Commonwealth Contracting Officer at least forty-five (45) calendar days in advance and provide the name, qualifications and background check of the person who will replace the diverted or removed staff. The Commonwealth Contracting Officer or delegated agency representative will notify the selected Offeror within ten (10) calendar days of the diversion notice whether the proposed diversion is acceptable and if the replacement is approved. Replacement of all other personnel must be submitted twenty (20) days prior to the replacement or substitution.
2. If a replacement is planned, the Offeror must provide resumes of the candidates for the position within two (2) weeks of the notification. At least five (5) business days are required to evaluate proposed candidate’s resumes, skills, and references.
3. The selected Offeror may not replace its project manager for the duration of the project. If the project manager leaves the selected Offeror’s employment then the replacement must be approved by the Commonwealth Contracting Officer or delegated agency representative.
4. The selected Offeror must provide a minimum of a thirty (30) calendar day overlap at no additional charge to the Commonwealth for replacement of key personnel.
5. Advance notification and employee overlap is not required for changes in key personnel due to resignations, death and disability, dismissal for cause or dismissal as a result of termination of a subcontract or any other cause that is beyond the control of the selected Offeror or its subcontractor. However, the Commonwealth must approve the replacement staff and receive the same documentation. Replacement of key personnel whose availability changes for reasons beyond the control of the selected Offeror must occur 1) on a temporary basis within one week of the availability change and 2) on a permanent basis no longer than thirty (30) calendar days from the availability change.
6. In the event that the Offeror’s personnel must be replaced, the newly proposed personnel must possess equal or greater experience and skills and must have a background check as described in Appendix A, Contract Terms and Conditions.
7. No more than five percent (5%) of the key personnel, and no more than twenty percent (20%) of the overall Offeror staff assigned to this project, may be substituted per year unless approved by L&I. The project must not incur any project delays due to knowledge transfer related to replacement or substitution of Offeror personnel.
8. The Commonwealth Contracting Officer or delegated agency representative may request to interview any proposed candidates and reject any proposed candidate who it deems unacceptable. The Offeror must provide alternate candidates for interview until a suitable candidate is selected.
9. The Commonwealth Contracting Officer or delegated agency representative may request that the selected Offeror remove one or more of its staff persons from this project at any time, with thirty (30) calendar day’s written notice. In the event that a staff person is removed from the project, the selected Offeror will have ten (10) days to fill the vacancy with a staff person acceptable in terms of experience and skills, subject to the Commonwealth Contracting Officer approval.
G. Offeror Staff, Work Location, and Work Hours.
1. All Offeror positions must perform normal day-to-day work efforts at Commonwealth premises during the core hours of 8:00 a.m. to 5:00 p.m. ET, unless otherwise authorized by the L&I project manager. Business hours for Commonwealth facilities that will be accessed by the Offeror are referenced below:
2. Department of Labor & Industry Building
651 Boas Street
Harrisburg, PA 17121
Building hours: 6:00 a.m. – 6:00 p.m. Monday through Friday (except for State Holidays)
Business hours: 8:00 a.m. to 5:00 p.m. Monday through Friday (except for State Holidays)
Parking: Both garage and metered street parking is available at the selected Offeror’s expense
3. L&I will provide reasonable office space for the selected Offeror’s staff and access to basic office equipment including telephones, desks, chairs, meeting facilities, and computer resources. The available office space will easily accommodate fifteen people.
4. The Offeror and sub-contracted staff will be issued a Commonwealth photo identification and security badge which will provide access to Commonwealth facilities. Background checks and security badges are required for access to Commonwealth facilities and systems. The Offeror is responsible for the cost of security badges needed for staff, the cost is currently twenty dollars ($20) and must be renewed annually at the selected Offeror’s expense. The Offeror and sub-contracted staff needing access to any Commonwealth facility outside of the normal building hours must submit their request to the L&I Project Manager at least two (2) working days in advance.
5. Confidentiality Statements: The Commonwealth may require the selected Offeror’s resources to access confidential and/or secure data. Prior to the start of an engagement, the selected Offeror and its resources shall be required to sign and adhere to the Commonwealth’s acceptable use policy agreement (Appendix N, Acceptable Use Policy Agreement) and a computer resources user agreement (Appendix O, Computer Resources User Agreement).
6. The Offeror’s project manager must notify the L&I project manager if any key personnel plans extended time (one week or more) away from the project. The Offeror’s project manager must notify the UCMS project management team at least two (2) weeks in advance. In such cases, the Offeror must ensure that project services are not interrupted.
7. The UCMS project management team may designate staff to interview the Offeror’s proposed personnel including any subcontractors. The Offeror’s proposed key personnel must be available throughout the one-hundred and twenty (120) days from the proposal submission or until a contract has been executed, whichever occurs later, and beyond that time as otherwise indicated herein.
H. Release Management.
The Commonwealth anticipates functional (application) and infrastructure (technology) releases. Both functional and infrastructure releases will be needed for the stability of the system. These releases may contain a combination of functional and infrastructure changes. Each type of release is described below:
1. Functional. The selected Offeror shall provide services that support a methodology for planning, development and implementation of a well-defined System Development Lifecycle (SDLC) for Design Change Requests (DCRs), defect remediation, and maintenance, including a formal process to set expectations with business areas around scope, involvement and schedule.
2. Infrastructure. The selected Offeror shall provide services that support a methodology for planning, development and implementation of infrastructure (technology) releases to ensure that at no time shall any component technology fall behind in its implemented release level beyond the current release level minus one. Included in these releases shall be Commercial-off-the-shelf (COTS) product upgrades including but not limited to non-shared products (such as Corticon and DataStage), L&I Shared Products, database software, Commonwealth PA Compute Services (PACS), and the Portal technology. The selected Offeror will have no responsibility for software or hardware acquisition. The selected Offeror’s responsibility is limited to maintaining the installed base of products.
The selected Offeror shall work cooperatively with the Commonwealth IT staff to ensure that UCMS, including its component technology (i.e. Commercial-off-the-shelf / third-party products such as L&I shared products / shared services, non-shared products, and other supporting software technologies) are maintained to up-to-date release levels. At no time shall any component technology fall behind in its implemented release level beyond the current release level minus one or become unsupported by its manufacturer. The allowance for any variability in the component technology release levels shall be at the sole discretion of L&I. Refer to: Appendix P, L&I Shared Products, Appendix Q, Production Responsibility Matrix, Appendix R, Non-Production Responsibility Matrix. The term Primary used in these matrices, refers to the party that is responsible or both responsible and accountable. The term Secondary refers to the party that is in a support role, that needs to be consulted, and that needs to be informed or updated. Secondary is further defined as the part that will serve as a backup to the primary if the primary becomes unavailable.
It is anticipated that the selected Offeror shall provide four (4) releases per year to accommodate functional and infrastructure needs. The selected Offeror may be required to plan and implement additional releases. The allowance for any variability in the number of releases shall be at the sole discretion of L&I. A historical perspective of release statistics may be found in Appendix S, UCMS Statistics for Historical Releases. L&I anticipates that the number of defects and enhancements will be substantially lower than has been depicted in the appendix.
It is imperative that the selected Offeror be cognizant of these timeframes when planning project activities to avoid peak periods of business activity. The following is an example of critical peak processing periods associated with quarterly tax filing:
1. First Quarter: April 1st through 30th.
2. Second Quarter: July 1st through 31st.
3. Third Quarter: October 1st through 31st.
4. Fourth Quarter: January 1st through 31st.
Over three-hundred thousand tax and wage reports along with remittances are filed and processed during each of these periods. The selected Offeror will have access to a fifteen (15) month calendar that outlines many of the key business functions and related UCMS activities. Appendix T, UCTS Calendar. The selected Offeror will be provided detailed information in regard to each of the calendar elements upon notice to proceed.
I. Standards and Policies.
1. The selected Offeror shall adhere to L&I software standards, and those standards of the Governor’s Office of Administration, Office of Information Technology (OA/OIT).
L&I’s list of software standards may be found at: ).
J. Documentation.
1. The selected Offeror must update and maintain current system documentation associated with each functional and technical release that, at a minimum depicts the functional and/or technical requirements, design, interface, integration, database design, data flow diagrams, entity relationship diagrams, workflow diagrams, report layouts, data, security, technical, test, test tools, and user manuals, backup, recovery, and restart procedures. The selected Offeror shall update and/or create complete, clear, concise, and accurate documentation. The selected Offeror shall, as appropriate, generate or update project management documentation.
2. Documentation must minimally include the following categories:
a. Technical Documentation. Describes the technical architecture of the solution. This documentation describes at a minimum the system functions, application procedures, error troubleshooting guides, relational database design, data dictionary, performance specifications, program descriptions, and dependency diagrams.
b. System Operations Documentation. Describes the steps and procedures needed to operate the system. This shall include system administration procedures, system start up and shut down procedures, dependency diagrams, deployment procedures, backup and recovery procedures, archival and restoration procedures, batch job procedures, security procedures, and maintenance procedures.
c. System Standards Manual. Describes the standards used to develop the applications such as coding methodology, naming conventions, and other similar items.
Offeror Response:
• Offerors shall provide a detailed listing and description of the documentation the Offeror proposes as part of its solution.
• Offerors should align its proposed documentation with the categories above.
• Offerors shall provide standard templates, along with basic format guidelines, and examples of typical products that it will produce. Final documentation shall be provided in a format agreed upon by L&I.
• Offerors shall describe how it will provide for version control of documentation.
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K. Service Level Agreements.
1. The selected Offeror shall comply with the Service Level Agreements contained in Appendix U, Service Level Agreements.
2. As part of the proposal, the Offeror may propose alternative service level agreements and/or service credits; however, these must be submitted on the basis of information included in Appendix U, Service Level Agreements and the proposal must be submitted on the basis that the SLA’s in Appendix U, Service Level Agreements, will apply to this procurement.
3. The selected Offeror shall identify and define a corrective action plan within five (5) business days from the time that it fails to meet a Service Level Agreement. The corrective action plan shall be communicated in writing to the L&I Project Manager.
4. Tasks.
The selected Offeror must perform all activities necessary to perform the tasks below while meeting the requirements of this RFP. Offeror(s) shall describe how it will perform the task listed below. All deliverables are subject to L&I written approval.
A. Project Initiation and Transition from the Incumbent Contractor.
1. Upon notice to proceed, the selected Offeror shall have a period of no greater than three (3) months to conduct project initiation and to ensure a complete transition of UCMS support from the incumbent contractor.
2. During this phase, the selected Offeror must work cooperatively with the incumbent contractor and Commonwealth project staff to understand existing structure and processes, to prepare and successfully execute the transition plan in preparation to assume support for UCMS Production system responsibility. The selected Offeror shall consider the incumbent contractor’s Turnover Plan as described in Appendix V, Incumbent Contractor’s Turnover Plan when preparing its transition plan tasks and activities, and staffing the project both for the life of the contract and the transition. Offerors shall submit any objections or recommendations for modifications to the plan as part of their proposal.
3. Initiation and Transition Work Products include:
a. Transition plan.
The selected Offeror shall create a written plan and execute the plan, upon L&I’s approval, for transition of UCMS that coordinates with the incumbent contractor’s turnover plan and allows for a seamless transition of functions between the incumbent contractor and the selected Offeror with minimal disruption to operations. At a minimum the transition plan must include:
i. The strategy for transferring system responsibility.
ii. Areas that may require continued support by the Commonwealth.
iii. Timeline that will be applied to the transition plan.
iv. Roles and responsibilities – to include for selected Offeror, incumbent contractor and Commonwealth.
v. Breakdown of activities that will be performed in the transition phase.
vi. Knowledge transfer process.
b. Transition status reports.
The selected Offeror must produce a written report on the status of the transition each week throughout the transition period.
c. Transition status meetings.
The selected Offeror must schedule and conduct weekly transition status meetings throughout the transition period. The incumbent contractor may be asked to attend these meetings. A sample of this report should be provided in the Offeror’s response.
Offeror Response:
• Offerors shall provide a transition plan which:
a) Explains how the Offeror will approach transition and work cooperatively with the incumbent contractor.
b) Explains what if any adverse impacts the Offeror anticipates that may impact business operations during the transition period.
c) Identifies any gaps between the incumbent contractor’s turnover plan and the Offeror’s preferred transition plan including transition duration that may extend beyond the three (3) month period. Offerors shall detail each specific gap item and explain their contingency plan for these items.
• Provide a sample of the transition status report and transition final report.
Deliverable(s):
• Transition plan.
• Transition final report - The selected Offeror must produce a written final report on the transition that accurately depicts the transition activities and the successful completion of the transition.
B. Product Assessment and Roadmap.
The selected Offeror shall annually conduct an assessment and establish a product roadmap that shall include a review of the current UCMS COTS software products to determine the impact of these product upgrades on UCMS. The assessment shall be used by L&I to assist in strategically planning product upgrades.
Offeror Response:
• Offerors should demonstrate their understanding and experience in managing product upgrades, accounting for dependencies, varying update schedules, while balancing L&I’s desire to remain current and observe operational constraints.
Deliverable(s):
• Annual Product Assessment and Roadmap.
C. Release Management.
1. Release Planning.
a. The selected Offeror and the L&I project manager will collaborate at the start of each planned release to define and prioritize the list of work items to be included in the upcoming release. Application changes in the form of Design Change Requests (DCRs), Service Requests (SRs), and Defects /Problem Reports (PRs) are governed by the application change management process. Work items may include but are not limited to items that support enhancements, defect remediation, software, and/or hardware upgrades. Complexity level of work items are to be described as follows:
i. Very High. An extremely high complexity work item requiring the highest level of technical analysis and development.
ii. High. A work item of high complexity requiring an elevated level of technical analysis and development.
iii. Medium. A work item of medium complexity requiring an intermediate level of technical analysis and development.
iv. Low. A work item having low complexity requiring minimal level of technical analysis and development.
b. Work products associated with release planning include:
i. Work Items and Scope of Release Document. The selected Offeror shall create a document that defines the work items, scope, and features of the release. The document shall include but is not limited to:
1. A detailed description of what will be included in the release.
2. A detailed work plan that includes the tasks, deliverables, work products, milestones and a Gantt chart.
3. The scheduling and coordination of requirements gathering sessions along with producing documentation that contains the items discussed, decisions made, and parking lot items.
4. Detailed System Design. Detailed systems design shall be included in every release.
5. System Development. Development shall be in accordance with L&I standards and shall follow quality management processes, as defined in the quality management plan, to meet quality expectations.
6. Testing. Testing shall be conducted on all code developed and the selected Offeror will resolve all defects.
7. Identification of maintenance and enhancements to include a list containing each feature and a brief description of the feature and the application areas impacted.
8. New or updated staff resources and responsibilities along with an organization structure.
9. A roles and responsibilities matrix listing each high-level activity role and responsible entity.
10. Implementation rollout plan to include how the work defined in the requirements and scope of the release will be implemented. The sequence of events and internal and external dependencies must be identified.
11. Assumptions, constraints and risks that may impact the release.
c. The selected Offeror shall provide a release deployment schedule depicting the associated timeframe from development to production. A sample release deployment schedule may be found in Appendix W, UCMS Historical Release Deployment Schedule.
d. The selected Offeror shall consider options for COTS product upgrades, version changes, or new software products.
e. The selected Offeror shall consider options for hardware requirements, upgrades, software version changes or upgrades, new software products, programming, and configuration.
f. The selected Offeror shall support development services for relational, transactional, and reporting databases.
g. The selected Offeror shall provide identification and configuration of all proposed hardware (and operating systems) needed to support the system through all life cycle phases. All hardware and storage shall be acquired via the Commonwealth PA Compute Services (PACS) contract. Information regarding the PACS contract may be found at:
h. The selected Offeror must support the planning and migration of UCMS and its components to the PACS vendor.
Offeror Response:
Offerors shall describe their release management strategy to include at a minimum: release planning, release deployment schedule, COTS product upgrades, hardware and software versioning, database services, and PACS transition planning.
Deliverable(s):
Release management plan.
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PACS transition plan.
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2. Requirements Management.
a. The selected Offeror shall manage the requirements of the release once the L&I Project Manager has given approval of the release planning work products as described in Section IV-4.C.a Release Planning.
b. The selected Offeror shall update or develop documentation that identifies the detailed requirements including but not limited to all internal and external interface and product integration dependencies. This includes the updating and/or creation of use-case documentation.
Offeror Response:
Offerors should describe their approach to requirements management to include the following:
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Requirements Management Process.
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Roles and Responsibilities.
Deliverable(s):
Detailed Requirements.
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Requirements Traceability Matrix.
3. Design.
The selected Offeror shall update or develop a detailed design that includes, but is not limited to: application design, data model, data definitions, detailed technical specifications, technical architecture, business logic diagrams, screen flows, screen mockups, detailed business roles, reference tables, interface designs, and report designs.
Offeror Response:
Offerors should describe their approach to design.
Deliverable(s):
Detailed Design Document.
4. Data Management.
The selected Offeror shall be responsible for all data management tasks associated with maintaining UCMS, including activities specifically associated with a release. Ongoing data maintenance activities must ensure UCMS data is complete, accurate, secure and stored efficiently to optimize performance. Activities associated with data management include, but are not limited to:
a. Development of data manipulation language to condition data in support of a release.
b. Creation of appropriate data for testing design changes or defects in the non-production environments.
c. Iterative testing.
d. Accurately estimate the time required to execute data manipulation taking into account differences in environment infrastructure.
e. Development and implementation of specific data scripts and/or data fixes.
f. Review UCMS to identify common or significant data quality errors.
g. Make recommendations to the L&I project manager for remediation of errors detected and implement recommendations upon approval.
Offeror Response:
Offerors shall describe approach to data management, ensuring the security of the data and performance of the UCMS application.
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Offerors shall provide examples of experience with data management on similar projects.
Work products associated with data management include:
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Data Management Plan which at a minimum shall describe the data conversion tasks, task owners, and durations.
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Data Mapping Document for each release which describes and depicts any modifications to the data mapping.
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Scripts used to implement changes including a description of the sequence and expected outcomes.
5. Development.
The selected Offeror shall plan for and develop code in accordance with the pre-development approved documentation included in Section IV-4.C.a Release Planning. Throughout this task the selected Offeror shall adhere to all project development standards. All developed works shall be compliant with accessibility standards.
Work products associated with Development include:
a. Development plan which shall include components applicable to the release and may include plans for associated modules, customizations to commercial-off-the-shelf products, customizations to existing system components, data interfaces, data capture interfaces, database development, logic and extracts related to data management and/or interfaces, and quality assurance measures.
b. Code developed by selected Offeror staff must follow generally accepted coding practices and standards following a system development life cycle while meeting quality management standards.
Offeror Response:
Offeror shall describe its approach to development, ensuring the timely delivery of a quality product.
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Offeror shall describe the methodology and tools that it intends to use to ensure code quality.
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Offeror shall describe how they will incorporate cumulative flow diagrams into its code quality assurance.
Deliverable(s):
Source code for each release.
6. Early Defect Identification.
The cost of defect identification and correction increases exponentially as the project progresses, therefore identifying and correcting defects early is the most cost-effective way to develop a system free of errors. The selected Offeror shall develop and implement a strategy for the early detection and remediation of defects which must include peer review of code.
Offeror Response:
Offerors shall describe their strategy for defect detection and remediation.
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Offerors shall describe their methodology for measuring the effectiveness of their detection and remediation program. Offerors shall further explain how they will adjust their program when the need for change has been identified.
Work products associated with early defect identification.
a. A method for increased monitoring following a release, support in the change management process following emergency fixes immediately following a release.
7. Testing.
The selected Offeror must plan and execute testing to verify that all requirements and design specification have been met successfully. The selected Offeror shall provide a comprehensive test plan that will be used to setup and execute testing procedures. The selected Offeror shall be responsible for data management associated with testing, developing test case scenarios and updating existing, automated test scripts that will be reviewed, validated, and approved by the L&I Project manager. L&I may review testing at any phase of the execution of testing, and the Offeror shall report as required in L&I’s discretion.
The selected Offeror must plan and execute the following testing: Unit Testing, Component Integration Testing, Accessibility Testing, Systems Testing, and Security Testing.
a. Unit testing tests and reviews the basic building blocks of the system such as a screens or programs to ensure that they have been built per specifications. Developers should perform negative testing as part of their unit testing. It focuses on removing any defects prior to component integration testing. This includes a code review for best practices and input/output testing. It will be conducted in an informal manner and is used to make sure that transactions and business processes are working according to their design specifications.
b. Component integration testing looks at how the transactions and business processes work together. This type of testing also insures that data exchanges and inter-process synchronization works properly. Also, component integration testing verifies that exception-processing logic is complete and correct. For example, it ensures that an error returned from a stored procedure call is correct and completely handled so there is no possibility of the system behaving in an unpredictable fashion. The scope of component integration testing includes all aspects of the current functional release of high-level services. Lastly, component integration testing is intended to ensure that the current functional release functions properly after it is connected with the existing system and previous functional releases.
c. Accessibility testing includes ensuring that the system continues to allow navigation, control and interpretation by a screen reader; continues to provide output that is accessible via a refreshable Braille display and continues to support keyboard emulation or device independence for data input Code accessibility shall be included in the design in advance of code development and that the system continues to comply with all applicable OA ITPs regarding accessibility.The selected Offeror shall be responsible for performing accessibility testing.
d. Systems testing is testing the system as a whole to ensure compliance with the requirements specifications. This includes verifying that the inputs into the system produce the desired responses and outputs; continual retesting (regression testing) to ensure that changes to any one component do not adversely affect the functionality of the system, and that all expected results continue to be met. Systems integration testing, regression testing, and quality assurance testing must be performed for each release and for all bug fix maintenance.
e. Security Testing tests the system to ensure that all defined role-based user profiles have access to data and processes and perform functionality as per specifications.
f. User Acceptance Testing (UAT) is the final test phase, conducted by the customer once the selected Offeror has successfully tested the solution as noted above. UAT ensures that the current functional release is meeting all of the agreed upon requirements.
The selected Offeror must plan and assist with User Acceptance Testing which shall be executed by the UCTS program staff. The UAT shall be considered complete when all test cases/scenarios pass without error and are reviewed and approved by the L&I project manager. Any deviation from this is at the sole discretion of L&I.
During the release lifecycle, defects may be discovered. The selected Offeror and the L&I Project Manager shall classify defects according to the following criteria:
a. Severity Level 1: Category = Critical.
A “show stopper”; a critical system failure; no further processing is possible; users unable to perform work; no acceptable work-around, alternative, or bypass exists.
b. Severity Level 2: Category = Major.
Processing is severely impacted; users are unable to proceed with selected function or dependents; software does not operate as specified, a major function or feature is missing or not functioning which causes a degradation in service, inaccurate or incorrect data to greater than five percent (5%) of customers; no acceptable work-around, alternative, or bypass is available.
c. Severity Level 3: Category = Minor.
A component, minor function, or procedure is impaired (down, disables, incorrect) however processing can continue. A mutually agreed workaround, alternative, or bypass is available.
d. Severity Level 4: Category = Cosmetic.
Minor cosmetic change is required, a superficial error with no effect on operations.
Work products associated with testing include:
a. Comprehensive Test Plan.
The selected Offeror must develop a written comprehensive test plan that describes the approach to all phases of testing and must include; roles and responsibilities, the testing procedures that will be used, the approach for monitoring test execution, logging of test results, and how the test results will be reported. The approach shall account for project standards for testing tools.
The testing plan shall include but is not limited to:
a. Identification of the testing strategy for all types of testing. It must specify how test scripts will be developed; who will be involved in testing, what data will be captured within each test script, and what tool and method will be used to log test cases, defects, and test results as well as manage defect resolution. Incident and defect logging as well as test script writing and execution is managed through the Application Lifecycle Management(ALM) toolset.
b. Acceptance criteria (entry and exit criteria) for allowing a work product to be moved from one testing stage to the next.
c. Formalized integration testing. Integration testing identifies problems that occur when units are combined. By using a test plan that requires you to test each unit and ensure the viability of each before combining units, you know that any errors discovered when combining units are likely related to the interface between units. This method reduces the number of possibilities to a far simpler level of analysis.
d. Identified methodology for managing how the selected Offeror will do testing. This task must verify that the release does not have design and coding errors and omissions and passes all test case scenarios. The selected Offeror must propose an acceptable error handling plan based on industry standards, industry averages, and industry best practices for L&I Project Manager approval. Unit testing shall conclude only when an error rate of zero has been achieved. All business requirements identified as critical to the business process must be operational without errors prior to moving to production.
e. Testing status in terms of information and statistics, for all testing types, shall be included in the weekly project status report.
f. The selected Offeror shall submit the results of testing phase to the L&I Project Manager for review.
g. The selected Offeror shall develop test scripts for all types of testing that reflect all requirements defined in the DSD. At a minimum, test scripts shall include the test scenario, associated requirement(s), and the expected results.
Offeror Response:
Offerors shall explain their understanding of testing requirements and shall explain in detail how the Offeror will manage and conduct testing. Each type of testing should be addressed including negative testing.
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Offerors shall explain how their testing management will ensure the delivery of high-quality, near defect free work products and illustrate how their approach to testing will ensure that requirements have been met and that the delivered design will work effectively.
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Offerors shall provide a sample of the integration test plan.
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Offerors shall explain their strategy for integration into release management execution.
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Offerors shall describe their strategy for defect identification and tracking.
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8. Deployment of Builds.
Prior to the deployment of any build, the selected Offeror shall:
a. Provide a summary of changes to be introduced by the build.
b. Identify any shared services of components which will be utilized or altered as a result of the build.
c. Identify any personnel resources to be utilized by the selected Offeror in the creation, implementation, or support of the build.
d. Identify any L&I resources to be utilized in the build or affected by the build, and integrate efforts with them where needed in advance of the build.
e. Adhere to Release Management requirements as stated in this RFP.
The selected Offeror shall provide a deployment manifest accompanying each build that minimally shall include: item number, ID number, Type, Tier, Category, description, module, target deploy, state, developer, submitter, testing priority, testing status in lower levels, data of testing, number of test scenarios, and regression testing as appropriate.
Offeror Response:
Offerors shall explain how they manage build deployments and provide a sample deployment manifest.
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Deliverable(s):
Deployment manifest.
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9. Implementation.
Upon UAT sign-off, the selected Offeror shall be responsible for the successful implementation of the release into the UCMS production environment. This includes data management activities related to implementation into production if applicable to the release.
a. Work products associated with implementation include:
i. Implementation Plan. After discussions with the L&I project manager and the UCMS project team, the selected Offeror shall provide a plan. The implementation plan must describe all of the activities that are necessary for the successful implementation of the work products and how the activities will be managed. The implementation plan should include but is not limited to all tasks and activities, durations, start and finish dates, dependencies and resources (Commonwealth and Offeror), and contingency plan. The implementation plan shall be submitted to the L&I project manager no less than thirty (30) days prior to the scheduled production release date.
Offeror Response:
Offerors shall explain how it manages implementation of releases and provide a sample implementation plan.
Deliverable(s):
Implementation Plan.
10. Warranty Period.
a. Warranty Requirements.
i. The selected Offeror shall provide a warranty consistent with paragraph 49, “Warranties,” of Appendix A, Contract Terms and Conditions.
ii. The selected Offeror must, during warranty period, correct all identified defects, update all documents associated with the component corrected, provide personnel to manage the warranty services fixes, approvals and tracking, and assuring that appropriate Commonwealth approvals and reporting are provided.
Offeror Response:
Provide a detailed explanation of the Offeror’s acceptance of the warranty conditions.
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Describe Offeror’s understanding of the responsibilities during the ninety (90) day warranty periods and how they will manage the defect resolution process.
11. System Documentation.
The selected Offeror shall be responsible for the documentation requirements, throughout the life of the contract, as identified in Section IV-3.I. Documentation and must be consistent with the selected Offeror’s proposed documentation.
Deliverable(s):
System Documents (new or updated) for release.
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12. Release Closeout and Final Acceptance.
a. A thirty (30) day stabilization period shall follow each release implementation. During this stabilization timeframe, the selected Offeror shall work with L&I to monitor the system, collect issues, conduct maintenance activities, and prioritize defects which are detected as a result of the product or activities associated with the release. The selected Offeror shall work with L&I to identify defect corrections that shall culminate into a patch release. Corrections shall be made following the system development life cycle, which shall be promoted through the system environments. Associated documentation must be updated to reflect changes.
b. Following the thirty (30) day stabilization period but no longer than sixty (60) days from release implementation:
i. The selected Offeror shall prepare a final report that will document the outcome against the original planned release. A release final report shall include a summary of the work completed by major task, an assessment of the approach and technology used and options for improvement, actual work performance against planned time and cost, approved changes and the impact on the original plan, problems encountered, analysis of quality assurance and quality control measures and their impact along with opportunities for improvement.
ii. The final report shall include an Offeror - prepared letter certifying that the system is stable, defects have been corrected and that all associated documentation has been updated.
The L&I project manager shall make verification prior to final acceptance.
Offeror Response:
Describe Offeror’s understanding of its responsibilities during the thirty (30) day stabilization period and how it will be managed.
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Provide a detailed explanation of the Offeror’s understanding of the deliverables.
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Provide a sample release final report.
Deliverable(s):
Release Final Report. This report shall contain at a minimum the items mentioned in the previous paragraph.
Application Maintenance and Operational Support Services.
1. The selected Offeror will provide application maintenance, infrastructure, and operational support services for the UCMS applications components throughout the life of the contract. The selected Offeror will provide operational support during a disaster. Offerors should reference Appendix Q, Production Responsibility Matrix and Appendix R, Non-Production Responsibility Matrix. Offerors may find the following appendices helpful in understanding the scope of the system:
a. Appendix X, UCMS System Design and Blueprint.
b. Appendix Y, Adobe Portal (AEM Hardware Infrastructure).
Application changes in the form of Design Change Requests (DCRs), Service Requests (SRs), and Problem Reports (PRs) are governed by the application change management process. L&I staff in conjunction with the selected Offeror will monitor the performance and availability of UCMS. Monitoring responsibility is identified in Appendix Q, Production Responsibility Matrix and Appendix R, Non-Production Responsibility Matrix. When required an SR or PR will be opened and assigned to the proper resource for resolution. Upon receiving a PR, SR or DCR, the selected Offeror’s team will gather the necessary information, analyze the issue, assess sizing and complexity for work estimation, and review the assigned severity.
The selected Offeror’s project manager will utilize the work estimate, taking into account priorities received from the L&I project manager, make the necessary adjustments to project activities or schedule and communicate any such impacts to the L&I project manager.
The L&I project manager and the selected Offeror’s project manager will meet at least once per week to review the UCMS schedule, approve and prioritize UCMS requests. The L&I project manager will evaluate these adjustments and impacts and advise the selected Offeror’s project manager on any revisions to prioritization of the services.
The selected Offeror will be responsible for maintaining all source code and business design artifacts, such as use case documentation. Source code will be maintained within Team Foundation Server. All internal documentation for custom-written code shall be sufficient to render the code clear and legible, and easily maintainable by a developer other than the original developer.
2. The selected Offeror will provide services as defined in the Appendix Q, Production Responsibility Matrix, and Appendix R, Non-Production Responsibility Matrix, for the UCMS across all environments: Sandbox (SBX)), Component Integration Testing (CIT), User Acceptance Testing (UAT), and Production (PROD) and any other environments that may be created during the life of the contract.
3. The selected Offeror’s responsibilities include but are not limited to:
a. Assist with the monitoring and management of UCMS.
b. Management of UCMS interfaces.
c. Assist with problem and incident management including root cause.
d. Support batch execution and monitoring.
e. Manage product upgrades.
f. Assist with production deployment.
g. Support the UCMS logon and registration application.
h. Support of FTP and SFTP.
i. Support for Non-shared products.
j. Support for the portal technology including the portal replacement and upgrades.
k. Management of bug fixes, corrective actions to code defects, DCR, PR, SR mitigation and code rewrites.
l. Coordinates UCMS printing with the L&I Bureau of Administrative Services, Print Operations.
4. The selected Offeror will provide change management services as described below:
a. Review application, infrastructure, and shared services changes for potential impact to the environments. Provide estimates and categorize change complexity (minor, medium, complex).
i. Create change impact analysis for medium and complex changes and send it to the L&I Project Manager for a possible program change request.
ii. Work with L&I shared services teams to coordinate implementation of shared services product changes.
iii. Work with L&I to schedule maintenance and fix activities through the L&I OIT shared service change control board and enterprise change control boards as appropriate.
iv. Support L&I in establishing schedules for performing server maintenance (for example virus detection, backup, disk space cleanup, file defragmentation) modifications, and enhancements, so as to minimally impact the end users.
a. Maintain configuration documentation for UCMS applications production system servers, operating systems, storage, network, and component software.
b. Request and keep current, user access rights for the selected Offeror’s staff per L&I guidelines and process as governed by the Enterprise Change Control Board (ECCB).
c. Request configuration changes to UCMS applications environments by following the L&I Enterprise Change Control process and gaining the appropriate approvals.
5. The selected Offeror will provide performance management services as described below for UCMS applications environments.
a. Work with L&I to determine what statistics should be monitored, such as DASD usage, CPU utilization, and paging space.
b. Work with L&I to establish thresholds and exception reporting procedures.
c. Work in conjunction with L&I monitoring trend data information in production. Reference Appendix Z, Key Performance Indicators.
d. Review with L&I the configuration data and the UCMS applications usage patterns.
e. Work with L&I to define performance indicators, monitor and maintain server performance against such indicators.
f. Provide recommendations to tune the system performance based on available performance data.
g. Determine appropriate resolution action when thresholds are exceeded and implement resolution.
h. Work with L&I to develop performance reports.
i. Plan and conduct quarterly review sessions
6. The selected Offeror will provide incident management services as described below:
a. Follow and support escalation processes for operational issues.
b. Assist in performing problem management tasks consisting of real-time monitoring of the UCMS application and infrastructure, problem identification, reporting, logging, tracking, resolution, communication, and escalation.
c. Gather and enter problem information into a problem record using an L&I provided tool for problem tracking, notify the appropriate L&I and or selected Offeror personnel of the problem and its status.
d. Assist in investigating incidents to determining root cause, expedite incident resolution and, use historical data to minimize the recurrence of duplicate or similar incidents.
e. Provide resolution of the incident (alternate resources, restart, bypass, impact and verify resolution.
f. Complete incident management reports detailing activities that occur during an incident.
7. The selected Offeror will provide capacity management support based on agreed indicators.
a. Work with L&I to plan and anticipate capacity needs to ensure smooth and efficient operations of UCMS.
b. Provides input and consults on L&I’s capacity management activities.
8. Provide availability management services as described below:
a. Work with L&I to define environments’ availability requirements.
b. Work with L&I to develop an availability plan.
c. Assist L&I with tracking, analyzing and, and reporting on availability.
d. Provide recommendations on availability improvements.
e. Provide a corrective action plan for unscheduled UCMS (attributable to hardware, software, and application components) outages greater than 1% for the calendar month. The corrective action plan will assign responsibilities and timeframes to both the selected Offeror and L&I, as appropriate based on the skills responsibility matrix in: Appendix Q, Production Responsibility Matrix and Appendix R, Non-Production Responsibility Matrix.
f. Develop key performance indicators and metrics for continual improvement of availability management.
g. Report on the progress and completion of assigned tasks in the corrective action plan as part of the weekly status report.
Offeror Response:
Offerors shall describe how they will provide 24 x 7 application infrastructure and operational support services and what the Offeror requires in order to provide that support (such as VPN, off-hours access, etc.)
2
Deliverable(s):
Included in the weekly status report a staffing report showing contractor provided staff to fulfill required roles as described in: Appendix Q, Production Responsibility Matrix, and Appendix R, Non-Production Responsibility Matrix.
E. Contract Closeout.
The selected Offeror shall develop administrative and contract closeout products to include, at a minimum: Detailed inventory of work in progress, inventory of equipment and software to be turned over, documentation updates. These deliverables shall be submitted for review by the L&I project manager. The selected Offeror shall develop and execute a formal turnover and closeout plan with identified criteria and responsible parties.
The selected Offeror shall provide contract closeout and financial documentation, including, but not limited to, invoices and payment records, and any other relevant documentation deemed necessary for contract closeout.
L&I may elect optional outbound transition services as defined in Section IV-4.G.5 Outbound Transition Services, in which services may be transitioned to the Commonwealth and/or its Contractor; a newly selected Offeror.
Offeror Response:
Offerors shall provide a description of their turnover and closeout activities and work products.
Deliverable(s):
Detailed inventory of work in progress.
6
Inventory of equipment and software to be turned over.
8
Final updated documentation.
10
F. Optional Services.
At L&I’s sole discretion, the selected Offeror may be required to provide optional services. Optional services may include:
1. Formal Knowledge Transfer.
a. Formal Knowledge Transfer is the process of transferring the knowledge, skills and abilities necessary to support the UCMS Wage and Tax solution from Offeror personnel to L&I staff or another vendor. In general, knowledge transfer from the Offeror to L&I staff or another vendor shall occur for every activity listed in the Statement of Work, Part IV, of this RFP, and shall include all hardware, software, tools, processes, etc. included in the UCMS Wage and Tax solution. Knowledge Transfer is subject to the number of L&I staff resources. In addition to other examples included in this RFP, the following list provides a representative sample of the basic abilities that L&I staff or another vendor shall acquire as a result of the Offeror’s knowledge transfer program:
i. L&I IT staff or another vendor shall be able to assess, modify, maintain, upgrade, manage, apply patches to and monitor the performance of the UCMS solution’s software and hardware components.
ii. Selected L&I IT staff or another vendor shall be able to identify the need for configuration changes and shall have the ability to configure the UCMS application to meet L&I’s needs.
iii. Selected L&I IT staff, another vendor’s staff, and L&I business/functional staff shall be able to identify and assess current or future functionality gaps in the UCMS solution and write specifications for the development of the needed functionality.
iv. Selected L&I IT staff, another vendor’s staff, and/or L&I business/functional staff shall be able to operate all UCMS-related software and tools, and perform all necessary related processes.
b. The Offeror’s knowledge transfer approach shall be focused on transferring knowledge of the UCMS solution, components, approaches, and processes that shall be acquired by L&I or another vendor to support UCMS.
c. Knowledge Transfer Plan. A Knowledge Transfer Plan must be developed to ensure the effective utilization of L&I resources or that of another vendor to perform the activities listed above, by drawing on the experience and network of the selected Offeror’s resources. The Knowledge Transfer Plan shall include but not be limited to:
i. Plan Overview/Schedule.
ii. Plan Definition.
iii. Approach and Elements.
iv. Skill Matrix.
v. Challenges.
vi. Guiding Principles.
vii. Implementation Framework.
viii. Roles and Responsibilities.
ix. Performance Measurements.
x. Evaluations.
xi. Tools.
The Offeror shall be responsible for the implementation, management and review of the Knowledge Transfer Plan. The Knowledge Transfer Plan must be approved by the L&I Project Manager.
d. Knowledge Transfer shall include:
i. Conduct a skills assessment to determine existing skill levels and identify knowledge gaps.
ii. Formal sessions at the project location with appropriate documentation and learning materials.
iii. IT knowledge transfer materials and skills shall, at a minimum, include:
1. Database design and management.
2. Entity Relationship Diagram.
3. Technical architecture.
4. Application functions and modules.
5. Source Code.
6. Hardware configuration.
7. Utility software configuration.
8. Monitoring tools.
9. Development tools.
10. Testing Tools.
11. Continuous Integration/Build Engineering tools.
12. Utility software.
iv. Business process knowledge transfer shall include:
1. Business process workflow.
2. Key business rules.
3. Process integration requirements.
4. Associated policies and procedures.
v. All documentation shall be organized by the selected Offeror in an electronic Technical Library that shall:
1. Be accessible to selected L&I project participants.
2. Include version control.
3. Reside on L&I hardware.
vi. All internal documentation for custom-written code shall be sufficient to render the code clear and legible, and easily maintainable by a developer other than the original developer.
vii. Knowledge transfer activities shall be reported in the project status report.
Offeror Response:
Offerors shall describe their approach to formal knowledge transfer.
Deliverable(s):
Knowledge Transfer Plan.
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Knowledge Transfer Final Results.
2. Stress and load testing.
The purpose of these tests are to enable L&I to fully understand the performance characteristics of UCMS under various Wage and Tax business demand scenarios, the limits of the systems performance capabilities, and its associated failure modes. The Offeror’s proposal shall provide a comprehensive test strategy and plan for stress and load testing to include business and engineering analyses of the results of the tests. It is L&I’s intent to participate collaboratively in this effort. Offerors should refer to Appendix AA, Stress and Load Testing Scenarios as a basis for its response.
Offeror Response:
Offerors shall describe their strategy for stress and load testing.
Deliverable(s):
Stress and Load Testing Plan and strategy.
17
Stress and Load Testing Results and recommendations.
3. Outbound Transition Services.
The selected Offeror must work with the L&I Project Manager and the subsequent Offeror to ensure a smooth transition to the party that will assume responsibility. The Offeror shall develop and execute a transition plan consistent with the incumbent Contractor’s turnover plan described in IV-4. Tasks A. Project Initiation and Transition from the Incumbent Contractor.
Offeror Response:
Offerors shall explain how they will handle its outbound transition working cooperatively with the Commonwealth and/or its Contractor. Included shall be the transition methodology / approach, schedules, and the Offeror’s staffing resources that will participate in the transition including role, number of resources by role, and number of hours for each.
Deliverable(s):
Transition Plan which shall include at a minimum:
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a) Transition methodology.
b) Transition schedules.
c) Transition staffing resources.
F. Optional Rate Card Services.
Enhancements under this subsection will be handled in accordance with Section 21 of the Terms and Conditions (attached hereto as Appendix A, Contract Terms and Conditions). At L&I’s sole discretion, the selected Offeror may be required to provide optional rate card services. A statement of work shall be prepared at that time to receive a fixed cost deliverables based cost quote based on the rate card enclosed in the Appendix H, Cost Matrix. Optional rate card services may include:
1. Disaster Recovery Planning Services.
A base installation record exists for UCMS however a full disaster recovery plan is not currently defined. Disaster recovery services involve the development of a disaster recovery plan for UCMS and its component technology as well as the successful execution of the plan including associated reporting. A statement of work shall be prepared at the time of request for the additional disaster recovery services.
The Selected Offeror shall review L&I’s technical failover procedures for UCMS and its components. An assessment shall be made to determine if these meet the failover strategy’s Recovery Time Objective (RTO) of 72 hours and Recovery Point Objective (RPO) of 24 hours.
2. Automated regression Testing.
a. Automated regression testing consists of a set of scripts that exercises a major portion of the existing and newly developed code that seeks to uncover defects. The vendor will be required to run this set of scripts in only one environment.
b. The selected Offeror will be responsible for the creation, maintenance, and documentation of these scripts throughout the life of the project.
c. The selected Offeror should create the scripts so that they may be run collectively or individually.
d. The selected Offeror will be responsible for the creation, loading and re-loading of the data associated with automated regression testing.
e. The selected Offeror will be responsible for documenting the results of regression testing and addressing any deficiencies.
f. The set of scripts may be limited to certain functional areas of UCMS. L&I at its discretion would choose to limit these areas to one or more of the following:
i. Accounting Module:
1. Accounting.
2. Adjustments.
3. Credits.
4. Financial Views.
5. Reconciliation.
6. Refund.
7. Remittances.
8. Reports.
ii. Appeals Module:
1. Appeals.
iii. Audit Module:
1. Audit Survey.
2. Field Audit Application.
3. Field Audit Pool.
4. Manage Audit.
5. Oracle API.
iv. Collections Module:
1. Administrative Review.
2. Assessment.
3. Bankruptcy.
4. Collections.
5. Common.
6. Compromise.
7. Field Visit.
8. Injunction.
9. Invoicing.
10. Lien.
11. Non-Bankruptcy Proof of Claims.
12. Payments Plans.
13. Prosecutions.
14. Statement of Account.
15. Write-off.
16. Writ of Executions.
v. Common Module:
1. Common.
2. Login.
3. Task Details.
4. Correspondence Viewing.
5. Manage Documents.
vi. Compliance Module:
1. Inquiry.
2. IRS Data Files.
3. PEO.
4. Status Questionnaire.
5. Reciprocal Coverage.
6. Tax Compliance.
7. TPA Pre-File.
vii. Rating Module:
1. Calculation Tools.
2. Contribution Rate.
3. Experience Reversal.
4. Solvency Fee.
5. Supporting Data.
viii. Receivables Module:
1. Due Date Extension.
2. Establish Receivables.
3. File Reports.
4. Filing Waiver.
5. Payment.
ix. Registration Module:
1. Collateral.
2. Employer Account.
3. Employer Registration.
4. Reimbursable Employer.
5. Transfer of Experience.
x. Reports Module:
1. Reports.
xi. USDOL Module:
1. ETA 581.
2. TPS.
xii. Wage Module:
1. Attachments and Documents.
2. Employer Record.
3. Non-GUI Use Cases.
4. Notes.
5. Reports.
6. Search.
7. UC2.
8. UC-2A.
9. Worker Wages.
10. Workflow.
11. Workflow History.
A listing of existing test scripts may be found in Appendix BB, Automated Regressions Test Scenarios.
3. Optional UCMS Additional enhancement.
If the Commonwealth requires an enhancement that substantially impacts UCMS, such as, but not limited to, changes required by a replacement of the legacy benefits system, significant law changes, the integration of UC Tax Auditing software, the selected Offeror may be required to:
a. Assess the impact of the proposed changes.
b. Design, develop, test and implement changes.
5. Reports and Project Control.
A. Project Management Plan.
The Project Management Plan provides the Commonwealth with sufficient evidence that the selected Offeror has the resources and management skills to control the project and deliver on-time, within budget, quality services and products, while meeting all of the requirements as specified in this RFP. This plan shall provide a preliminary overview of project management and participant staff skills and responsibilities for both the Offeror and L&I.
Offeror Response:
Offerors shall include their Project Management Plan.
B. Project Management Methodology.
The Project Management Methodology is the approach to project management. It is a logical order of steps or tasks to be performed to attain the goal of the project while staying within the bounds of scope, cost and time. There are a number of methodologies that may be adopted in order to develop and deliver the project. The chief aim of implementing a Project Management Methodology process is to make sure that a structured and defined approach is taken to professionally managing and delivering the project. The Selected Offeror shall provide project management services throughout the life of the contract and manage the development of artifacts, activities and deliverables. The Project Management Methodology shall meet or exceed the Project Management Institute (PMI) Project Management Body of Knowledge (PMBOK) standards. The Selected Offeror shall include their associated templates at the start of the project.
Offeror Response:
Offerors shall include their Project Management Methodology.
C. Project Strategy Plan.
The Project Strategy Plan describes the Offeror’s strategic approach to delivering the results anticipated by the RFP. At a minimum it shall define the Offeror’s vision of: how the project will proceed, the expectations of both L&I staff and Offeror staff toward the deliverables, how all components of the services and products will be addressed throughout the project, the suggested implementation and functional release phasing strategy, how governance will be established and utilized to ensure decisions are made at the appropriate level and in a timely manner, and how the project leaders will ensure all requirements are met as specified in the RFP. The Offeror must be prepared to discuss how the team will meet the proposed functional (application) and infrastructure (technology) release schedules.
Offeror Response:
Offerors shall include their Project Strategy Plan that includes, at a minimum, the following:
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Project Charter Scope: Defines the project in sufficient detail to communicate the scope of the effort, objectives, constraints, risks and desired outcomes.
26
Work Breakdown Structure: Defines the primary tasks, deliverables and functional releases in a manner that allows estimation of resources and time.
Timeline of Major Milestones/Deliverables: Defines the timed completion of deliverables and results of the effort. Project phases, functional releases and infrastructure releases shall be included here.
D. Weekly Status Reporting.
Status reports are used to document and communicate the progression of the project and future expectations to team members and stake holders. They are, at a minimum, used to identify work completed, planned work activities, issues, and risks. The Selected Offeror shall prepare and deliver status reports on a weekly basis throughout the life of the contract in sufficient detail to provide an audit trail of the project. At a minimum the status reports shall address progress, risk and issue anticipation and aversion, recommendations, decisions changes, variances to targeted Service Level Agreements, and corrective actions. Status reports shall be presented at a scheduled status meeting that includes all appropriate participants.
Offeror Response:
Offerors shall include their proposed template for Weekly Status Reports.
E. Monthly Executive Reporting.
An Executive Report identifies, at a high level, the status of the project. Issues that require resolution or assistance from an executive level shall be clearly defined and the options and recommendations presented. At a minimum, the Executive Report shall provide the overall status of the project scope, schedule, deliverables, cost, issues, and risks.
Offeror Response:
Offerors shall include their proposed template for Monthly Executive Reports.
F. Project Governance.
Project Governance is the management framework within which the project decisions will be made. As a critical element of the project it clearly defines and establishes the accountabilities and responsibilities associated with the project. At a minimum, the Project Governance shall include a graphical representation and supporting documentation that defines the framework within which project participation and decisions will be made and defines the roles of all participants. All roles shall be identified as being provided by the Offeror or provided by Commonwealth of PA staff. Weekly status meetings and monthly executive meetings provide the opportunity for decisions affecting the project to be made. The Commonwealth reserves the right to alter the proposed project governance model. Final approval authority for all project related decisions shall remain with the Commonwealth.
Offeror Response:
Offerors shall include their proposed Project Governance model.
G. Project Work Plan.
The Project Work Plan indicates how and when a project's objectives are to be achieved, by showing the major deliverables, releases, milestones, activities and resources required on the project. It is the selected Offeror’s explicit responsibility to include functional (application) and infrastructure (technology) releases in their Project Work Plan.
The selected Offeror must prepare and maintain a detailed Gantt chart and resourced Project Work Plans for the entire project that is understood and agreed to by the L&I UCMS project management team, project sponsors and key stakeholders as identified in the Project Governance structure. The Project Work Plans shall depict, at a minimum, all project tasks, their planned and actual start and completion dates, task work products and deliverables, task dependencies and resources, and the critical path. The Project Work Plan must be baselined after L&I and the Selected Offeror reach agreement on each iteration of the plan. At a minimum, these plans must be created and baselined for each functional (application) and infrastructure (technology) release.
The selected Offeror must evaluate the Project Work Plan on an ongoing basis and determine the current state of the project. The Project Work Plan and Weekly Status Reports must be updated with the current state of work that is completed and in progress. The remaining work must be evaluated against original effort, cost and duration.
Offeror Response:
Offerors shall include their Project Work Plan that includes but is not limited to tasks associated with the following:
a) Validation of the business requirements.
b) Facilitation of business requirements meetings for UC Tax, OIT Technical groups, focus groups, or other stakeholders.
c) Systems Design.
d) Systems Development.
e) Integration of L&I Shared Services including upgrade and refresh plans for hardware and software.
f) Resource definitions.
g) Functional (application) releases.
h) Infrastructure (technology) releases.
i) PA Compute Services (PACS) planning and transition activities.
j) A baseline against which progress and project scope can be measured.
H. Communications Management Plan.
The Communications Management Plan describes the communications process that will be used throughout the life of the contract. The process shall include the tools, techniques and timing that will ensure timely and appropriate generation and distribution of relevant project information to the appropriate audience.
Offeror Response:
Offerors shall include their proposed template for the Communication Management Plan.
I. Change Control Management Plan.
The Change Control Management plan describes the approach to effectively manage changes throughout the life of the contract. The plan shall include a Change Control Board and the process to track change requests from submittal to final disposition (submission, coordination, review, evaluation, categorization, and prioritization) the method used to communicate change requests and their status (approved, deferred, rejected, etc.), the escalation process if changes cannot be resolved by the review team, and the process to re-baseline the project. Offerors shall take into account change control as described in Section IV-4.C.a Release Planning.
Offeror Response:
Offerors shall include their proposed template for the Change Control Management plan containing, at a minimum, the following:
35
a) Change Management Process.
b) Roles and Responsibilities.
c) Rules/Procedures.
d) Change Impact Analysis Approach.
J. Document Management Plan.
The Document Management Plan ensures the organized collection, retention and versioning of all documents and deliverables produced as a result of the project. The Document Management Plan shall include the location and method of project management document and deliverable document retention and versioning.
Offeror Response:
Offerors shall include their proposed template for the Document Management Plan.
37
K. Risk Management Plan.
The Risk Management Plan describes the approach used to manage risk throughout the life of the contract, and how contingency plans are discussed, approved and implemented. The Risk Management Plan shall include the methods for identifying risks, tracking risks, discussing, approving and documenting strategies, and communicating risk information.
Offeror Response:
Offerors shall include their proposed template for the Risk Management Plan containing, at a minimum, the following:
39
a) Risk management Process.
b) Roles and responsibilities.
c) Rules and procedures.
d) Risk impact analysis approach.
L. Issues Management Plan.
The Issue Management Plan describes the approach for capturing and managing issues throughout the life of the contract to ensure the project is moving forward and avoids unnecessary delays. The plan should support the timely identification of issues, the impact on the overall project and each affected task, potential courses of action, advantages and disadvantages of each, and Selected Offeror recommendations with supporting rationale.
Offeror Response:
Offerors shall include their proposed template for the Issue Management Plan containing, at a minimum, the following:
41
a) Issues management process.
b) Issues escalation approach.
c) Roles and responsibilities.
d) Rules and procedures.
M. Quality Management Plan.
The Quality Management Plan describes the approach used to address Quality Assurance (QA) and Quality Control (QC) throughout the life of the contract. The Quality Management Plan shall identify the quality processes and practices including the periodic reviews and audits for key deliverables. The plan should also include the criteria by which quality is measured, the tolerances required of product and project deliverables, how compliance is measured, and the process for addressing those instances whenever quality measures are out of tolerance or compliance.
Offeror Response:
Offerors shall include their proposed template for the Quality Management Plan containing, at a minimum, the following:
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a) Quality Management Process.
b) Roles and responsibilities.
c) Quality standards.
N. Project Finalization and Closeout Reports.
The Project Finalization and Closeout Reports reflect the achievement of goals and objectives and/or contractual obligations.
Offeror Response:
Offerors shall include their proposed template for the Project Finalization and Closeout Reports.
O. IT Service Management
Offeror(s) shall describe its service management methodology that it uses to deliver service to its customers. Identify any industry best practices or standards its service management upon which its methodology is based. IT Service Management shall include strategic approach directed by policies and incorporated in processes and supporting procedures that are performed in order to plan, deliver, operate, control, and improve IT services offered to customers. Offeror(s) shall describe the staff that will support the IT Service Management processes to include, but not be limited to, staff experience and certification level and their roles and responsibilities. Offers shall describe tools used for service management. Offerors shall include as part of its proposal any service management pan(s) which will be utilized to deliver, operate, control, and improve the services as described in this RFP.
6. Contract Requirements—Small Diverse Business Participation.
All contracts containing Small Diverse Business participation must also include a provision requiring the selected contractor to meet and maintain those commitments made to Small Diverse Businesses at the time of proposal submittal or contract negotiation, unless a change in the commitment is approved by the BDISBO. All contracts containing Small Diverse Business participation must include a provision requiring Small Diverse Business subcontractors to perform at least fifty percent (50%) of the subcontracted work.
The selected contractor’s commitments to Small Diverse Businesses made at the time of proposal submittal or contract negotiation shall, to the extent so provided in the commitment, be maintained throughout the term of the contract and through any renewal or extension of the contract. Any proposed change must be submitted to BDISBO, which will make a recommendation to the Contracting Officer regarding a course of action.
If a contract is assigned to another contractor, the new contractor must maintain the Small Diverse Business participation of the original contract.
The selected contractor shall complete the Prime Contractor’s Quarterly Utilization Report (or similar type document containing the same information) and submit it to the contracting officer of the Issuing Office and BDISBO within ten (10) workdays at the end of each quarter the contract is in force. This information will be used to determine the actual dollar amount paid to Small Diverse Business subcontractors and suppliers. Also, this information will serve as a record of fulfillment of the commitment the selected contractor made and for which it received Small Diverse Business participation points. If there was no activity during the quarter then the form must be completed by stating “No activity in this quarter.”
NOTE: EQUAL EMPLOYMENT OPPORTUNITY AND CONTRACT COMPLIANCE STATEMENTS REFERRING TO COMPANY EQUAL EMPLOYMENT OPPORTUNITY POLICIES OR PAST CONTRACT COMPLIANCE PRACTICES DO NOT CONSTITUTE PROOF OF SMALL DIVERSE BUSINESS STATUS OR ENTITLE AN OFFEROR TO RECEIVE CREDIT FOR SMALL DIVERSE BUSINESS UTILIZATION.
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